| Dec 4 2015 |
No-Action Relief Granted to Foreign Branch of US Swap Dealer for Transaction-Level Requirements |
Katten |
| Aug 19 2019 |
Bridging the Week by Gary DeWaal: August 12 - 16, and August 19, 2019 (Manipulation Settlement; CFTC Gag Agreement; Digital Securities Offering) |
Katten |
| Jun 9 2013 |
Federal Reserve Equalizes Treatment of Foreign Banks Under Dodd-Frank Push Out Rules |
Katten |
| Sep 27 2023 |
Greenwashing? Try 'Greenhushing' – A Look at Recent Developments in Fashion Sustainability Claims |
Katten |
| Dec 11 2015 |
Federal Highway Bill Eliminates Annual Privacy Notice Requirement for Financial Institutions |
Katten |
| Apr 8 2014 |
Supreme Court Inks Uniform Standing Test for Lanham Act False Advertising Claims |
Katten |
| Jun 17 2016 |
CFTC Approves Rules Amending Cleared Swaps Data Reporting and Recordkeeping Requirements |
Katten |
| Aug 30 2019 |
FINRA Issues Guidance on Member Firms’ Supervisory Obligations When Participating in Investment-Related Activities With Municipal Clients |
Katten |
| Apr 30 2021 |
Upcoming Effective Date of FINRA Rules Regarding Brokers With a Significant History of Misconduct |
Katten |
| Apr 13 2014 |
Federal Reserve Extends Compliance Deadline for Collateralized Loan Obligations (CLOs) |
Katten |
| Nov 14 2014 |
Proxy Advisory Firms Release Policy Updates for 2015 |
Katten |
| Sep 7 2019 |
ISDA Publishes Narrowly Tailored Credit Event (NTCE) Protocol |
Katten |
| Jun 24 2016 |
SEC Announces Self-Reporting Initiative for Broker-Dealers Who Have Failed To Comply With Its Customer Protection Rule |
Katten |
| Jun 26 2015 |
FIA Market Technology Division Releases Recommendations to Prepare for Leap Second Event |
Katten |
| Sep 13 2019 |
SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS |
Katten |
| Apr 25 2014 |
SEC (Securities and Exchange Commission) Proposes Recordkeeping and Reporting Rules for Security-based Swaps |
Katten |
| Jul 16 2013 |
Federal Trade Commission (FTC) Formalizes Withdrawal and Refiling Process |
Katten |
| Jul 20 2018 |
SEC Amends the Definition of “Smaller Reporting Company” |
Katten |
| Jul 17 2013 |
Key Topics to Follow During Internet Corporation for Assigned Names and Numbers (ICANN) 47 |
Katten |
| Sep 20 2019 |
FDIC Proposes Amendments to Prudential Regulator Swap Margin Rules |
Katten |
| May 2 2014 |
Commodities Futures Trading Commission (CFTC) Provides Relief Regarding Package Transactions |
Katten |
| Jan 6 2017 |
ISS Releases Changes to Equity Plan Score Card for 2017 |
Katten |
| Dec 5 2014 |
FINRA Issues Notice on TRACE Trade Reporting Obligations |
Katten |
| Jan 8 2016 |
CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals |
Katten |
| Jan 8 2016 |
SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act |
Katten |
| May 5 2022 |
SEC's Climate-Related Comment Letters – Avoiding Potential Pitfalls |
Katten |
| Jun 30 2017 |
NYSE Withdraws Proposed Rule to Allow Listing Without an IPO |
Katten |
| Jul 10 2015 |
CFPB Postpones “Know Before You Owe” Mortgage Rule Until October 3 |
Katten |
| May 10 2014 |
FDIC Releases Resource Guide to Help Institutions Evaluate Opportunities with Community Development Financial Institutions |
Katten |
| Aug 4 2018 |
FINRA Seeks Comment on Proposed Amendments to the Membership Application Program Rules & Fintech Innovation in Broker-Dealer Industry |
Katten |
| Jan 19 2016 |
SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries |
Katten |
| Jan 17 2017 |
Bridging the Week: Jan 9 to 13, Jan 17, 2017 (Record Retention; Position Limits-Setting Authority; Overcharging Fees; Misstating Regulatory Capital) VIDEO |
Katten |
| Jul 17 2015 |
CFTC’s Energy and Environmental Markets Advisory Committee to Meet on July 29 |
Katten |
| Jan 22 2016 |
"Implementation Day" Brings Openings for Commercial Aircraft Sales With Iran |
Katten |
| Aug 18 2013 |
Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations (SIDCO) |
Katten |
