| Dec 6 2019 |
CFTC December Meetings |
Katten |
| Feb 9 2013 |
SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the Jumpstart Our Business Startups "JOBS" Act |
Katten |
| Nov 2 2013 |
Commodity Futures Trading Commission (CFTC) CFTC Adopts Rules Regarding the Protection of Collateral and Treatment of Securities in a Portfolio Margining Account in a Bankruptcy |
Katten |
| Sep 23 2016 |
CFTC To Host Roundtable on Recent CPMI-IOSCO Guidance |
Katten |
| Mar 16 2016 |
FTC Releases Guidance Regarding “Native” Advertising |
Katten |
| Apr 16 2020 |
Physically Settled Power Hedges Under the ISDA North American Power Annex |
Katten |
| May 3 2019 |
CFTC Proposes Amendments to DCO Regulations |
Katten |
| Nov 3 2018 |
Banking Regulators Propose Revised Methodology for Calculating Derivatives Exposure |
Katten |
| Mar 6 2015 |
CFTC to Host Roundtable on Cybersecurity and System Safeguards Testing |
Katten |
| Aug 6 2021 |
SEC Enforcement Actions Highlight Regulatory Focus on Form CRS and Regulation Best Interest |
Katten |
| Nov 16 2013 |
Commodity Futures Trading Commission (CFTC) Issues Cross-Border Transactions Advisory |
Katten |
| Apr 17 2020 |
SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 |
Katten |
| Oct 4 2017 |
Bridging the Week: September 11 to 15 and September 18, 2017 (ICOs; Digital Tokens; Spoofing; Advertising Standards) |
Katten |
| Nov 24 2013 |
Commodity Futures Trading Commission (CFTC) Issues Guidance for Swap Execution Facilities |
Katten |
| Mar 25 2016 |
SEC Proposes Interpretation on Automated Quotations Under Regulation NMS |
Katten |
| Mar 23 2017 |
Hip, Hip, Hooray for Copyrightable Decorative Elements |
Katten |
| Oct 9 2017 |
Bridging the Week: October 2 – 6 and October 9, 2017 (SEC/CFTC – Coordinate and Harmonize, Don’t Merge; Source Code Proposal: Dead; Wishes May Come True) |
Katten |
| Oct 2 2015 |
OCC Announces Update to Accounting Interpretations On TDRs, OREO and Pushdown Accounting |
Katten |
| Oct 13 2017 |
SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure |
Katten |
| Nov 19 2018 |
EPA Finalizes 2009 NSR Aggregation Action |
Katten |
| Dec 8 2013 |
FINRA (Financial Industry Regulatory Authority) Issues New Rules on Securities Borrowing, Customer Protection and Callable Securities |
Katten |
| Mar 23 2015 |
CBOE Proposes Amendments to Trading Permit Holder and Direct Access Qualifications |
Katten |
| Mar 23 2015 |
Exchange Fined; Algorithmic Traders; Red Flags; China Access- Bridging the Week: March 16 to 20 and 23, 2015 |
Katten |
| Oct 14 2016 |
FCA Publishes Discussion Paper on Firms’ Legal Function Under the Senior Managers Regime |
Katten |
| Jan 10 2020 |
NFA’s Swaps Proficiency Requirements Become Effective on January 31 |
Katten |
| Mar 27 2015 |
CFTC Issues Advisory on Ownership and Control Reporting |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s Capital Acquisition Broker Rules |
Katten |
| Mar 25 2013 |
CFTC Grants Relief from Required Clearing for Partial Novation and Partial Termination of Swaps |
Katten |
| Dec 21 2013 |
Banking Agencies Issue FAQ Document Regarding Collateralized Debt Obligations (CDOs) Backed by TruPS Under the Volcker Rule |
Katten |
| Sep 25 2020 |
Joint Audit Committee Revises Earlier Regulatory Alerts to Conform to CFTC Letter No. 20-28 |
Katten |
| Jan 17 2024 |
CFTC Settles Enforcement Action Against Commodity Trading Firm for Alleged Fraud in Connection with Physical Commodity Trading Only – No Derivatives |
Katten |
| Jan 5 2014 |
Commodity Futures Trading Commission (CFTC) Makes Comparability Determinations for Substituted Compliance Purposes |
Katten |
| Apr 3 2015 |
CME Updates Order Routing/Front-End Audit Trail Requirements |
Katten |
| May 1 2020 |
SEC COVID-19: Broker-Dealer Financial Responsibility & Cross-Div. Market Monitoring |
Katten |
| Oct 2 2020 |
CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule & Holding Open Commission Meeting on October 6 |
Katten |
