| Oct 2 2015 |
CFPB Finalizes Rule to Ease Rules for Small Creditors |
Katten |
| Apr 8 2016 |
SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items |
Katten |
| Mar 22 2018 |
Blockchain Technology May Enable Tracing in Securities Act Litigation |
Katten |
| Mar 16 2013 |
Texas District Court Addresses Misappropriation Theory of Insider Trading |
Katten |
| Jan 17 2020 |
Amendments to FINRA New Issue Rules 5130 and 5131 Effective January 1, 2020 |
Katten |
| Aug 15 2014 |
SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements |
Katten |
| Apr 27 2020 |
Tax Implications of Debt Restructuring and Workouts During Difficult Times |
Katten |
| Mar 28 2015 |
FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions |
Katten |
| Sep 25 2020 |
SEC Adopts Shareholder Amendments & Issues C&DI |
Katten |
| Mar 29 2013 |
National Futures Association (NFA) Issues Reminder of Futures Commission Merchant (FCM) Responsibility for Review of Guaranteed IB Promotional Materials |
Katten |
| Aug 31 2014 |
National Futures Association (NFA) Issues Notice Setting Effective Date for Risk Exposure Report Filing Through WinJammer |
Katten |
| Apr 22 2016 |
SEC Releases Registration Fee Estimator |
Katten |
| Apr 7 2013 |
Federal Deposit Insurance Corporation (FDIC) Announces Availability of Educational Videos |
Katten |
| Feb 9 2023 |
EU-US Transborder Data Flows to Be Reviewed by the European Data Protection Board |
Katten |
| Apr 11 2015 |
NFA Updates BASIC to Assist With Bylaw 1101 Diligence on Delegating CPOs (Commodity Pool Operators) |
Katten |
| Nov 11 2016 |
CFTC Amends Filing Requirements for FCM and SD CCO Annual Reports |
Katten |
| May 4 2020 |
SEC Announces Formation of Cross-Divisional COVID-19 Market Monitoring Group |
Katten |
| Jan 12 2014 |
Lawmakers Introduce Legislation to Resolve CDO-TruPS (Collateralized Debt Obligation-Trust Preferred Securities) Controversy |
Katten |
| Mar 5 2021 |
SEC Announces New Climate and ESG Task Force |
Katten |
| Feb 15 2023 |
Capital Markets Update in Brief |
Katten |
| Nov 2 2017 |
SEC Issues Important Interpretive Guidance on Implications of "Unbundling" the Costs of Investment Research from the Costs of Trade Execution, Mandated by EU Requirements |
Katten |
| Nov 7 2015 |
DERA Publishes Study of Unregistered Offering |
Katten |
| May 6 2016 |
Federal Financial Institutions Examination Council (FFIEC) Proposes New Consumer Compliance Rating System |
Katten |
| Sep 24 2014 |
More Swaps Margin Rules; Manipulation Settlement; HFT Capital Violation; FX Futures Block Thresholds; Eating Evidence - Bridging the Week: September 15 to 19 and 22, 2014 [VIDEO] |
Katten |
| Jan 25 2014 |
National Futures Association (NFA) Requests Comment on Commodity Pool Operator/Commodity Trading Advisor (CPO/CTA) Requirements |
Katten |
| Sep 26 2014 |
Think Tanks Ask Supreme Court to Clarify Definition of “Foreign Official” in FCPA (Foreign Corrupt Practices Act) |
Katten |
| May 8 2020 |
SEC Orders Submission of New NMS Plan |
Katten |
| Apr 24 2017 |
Bridging the Week: April 17 to 21 and 24, 2017 (Direct Funding Participants; Chatting About FX Trades; You Trade, You Submit) [VIDEO] |
Katten |
| Apr 30 2018 |
Bridging the Week by Gary DeWaal: April 23 to 27 and April 30, 2018 (Swaps Clearing, Trading and Reporting; Wire Fraud; Spoofing) [VIDEO] |
Katten |
| Nov 16 2015 |
SEC Chastised; Cybersecurity; Hacking; Supervision; Compliance Outsourcing; the Cloud - Bridging the Week: November 9 - 13 and 16, 2015 [VIDEO] |
Katten |
| Oct 4 2014 |
Securities Exchange Commission (SEC) Settles Insider Trading Case, Finding Roommate Relationship Created Duty of Trust and Confidence |
Katten |
| Oct 23 2020 |
SEC Adopts Amendments to Modernize Auditor Independence Rules |
Katten |
| May 16 2016 |
Bridging the Week by Gary DeWaal: May 9 - 13 and May 16, 2016 (Personal Liability; Rogue Trader; Hubris Risk; Spoofing) |
Katten |
| Nov 21 2015 |
CFTC To Hold Open Commission Meeting on Automated Trading |
Katten |
| Mar 19 2021 |
FINRA Publishes Updates to Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123 |
Katten |
