| Nov 19 2012 |
Court Finds Defendants Jointly and Severally Liable for Disgorgement and Prejudgment Interest Award in Ponzi Scheme Case |
Katten |
| Mar 15 2019 |
FINRA Requests Comment on Its Rule on Business Continuity Plans and Emergency Contact Information |
Katten |
| Mar 26 2020 |
Virtual Shareholder Meetings in the Wake of COVID-19: Legal and Practical Considerations |
Katten |
| May 1 2024 |
NAD Following FTC's Footsteps in AI Regulation |
Katten |
| Aug 24 2018 |
CFTC Amendments, Orders of Registration and Proposals for Officers |
Katten |
| Oct 18 2019 |
SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion |
Katten |
| Aug 7 2015 |
FINRA Proposes Rule Governing Personal Securities Transactions of Associated Persons |
Katten |
| Mar 22 2019 |
FINRA Reminds Firms of Obligations Under Rule 15c2-11(a)(4) |
Katten |
| Mar 27 2020 |
SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 |
Katten |
| May 30 2014 |
Commodity Futures Trading Commission (CFTC) Seeks Additional Comments on Position Limits for Physical Commodity Derivatives |
Katten |
| Feb 6 2017 |
Technology Assisted Review Transparency Required in New DOJ Model Second Request |
Katten |
| Feb 5 2016 |
FDIC Releases Paper on Cybersecurity |
Katten |
| Aug 31 2013 |
SEC Accuses Investment Adviser of Misrepresenting Its Algorithmic Trading Capacity |
Katten |
| Jun 14 2022 |
Katten Financial Markets and Funds Quick Take: June 2022 |
Katten |
| Sep 4 2013 |
Estate Planning Opportunities Arising from Recent Revenue Ruling Concerning Marriages of Same-Sex Couples |
Katten |
| Sep 7 2018 |
NFA Releases Notice Regarding Swap Valuation Dispute Filing Process |
Katten |
| Mar 31 2019 |
FINRA Proposes Data Service for Corporate Bond New Issues |
Katten |
| Jun 9 2014 |
Commodity Futures Trading Commission (CFTC) Extends No-Action Relief for Certain Transaction-Level Requirements for Non-US Swap Dealers |
Katten |
| Dec 27 2012 |
Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs |
Katten |
| Aug 19 2016 |
CFTC Issues Final Response To Remand Order in SIFMA v. CFTC |
Katten |
| Apr 5 2019 |
NASDAQ Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA |
Katten |
| Aug 28 2015 |
SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products |
Katten |
| Jan 6 2013 |
Commodity Futures Trading Commission "CFTC" Issues Final Order on Cross-Border Swaps |
Katten |
| Jan 8 2021 |
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements |
Katten |
| Feb 17 2015 |
SEC Proposes Rules for Disclosure of Companies’ Hedging Policies |
Katten |
| Jan 11 2021 |
PPP 2 LOANS —A Second Opportunity for Eligible Businesses to Obtain Forgivable Loans |
Katten |
| Jun 20 2014 |
Securities and Exchange Commission (SEC) Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud |
Katten |
| Jul 31 2020 |
This Week's Financial Industry Regulatory Authority (FINRA) Update |
Katten |
| Sep 4 2015 |
CFTC Announces Upcoming Agricultural Advisory Committee Meeting |
Katten |
| Feb 26 2016 |
Revised Comptroller’s Handbook Country Risk Management Booklet |
Katten |
| Oct 9 2013 |
Securities and Exchange Commission (SEC) Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section 15(b)(4) and 15(b)(6) of the Exchange Act |
Katten |
| Jun 15 2023 |
Is Your AI Intelligent Enough? The CFPB Says it Will Actively Police the Use of Chatbots and Warns of Risks |
Katten |
| Oct 12 2013 |
Government Publishes Study of Systemic Risks in Asset Management |
Katten |
| Jun 27 2014 |
It’s Good to Be Famous: TTAB Expands Protection for Famous Marks - Trademark Trial and Appeal Board |
Katten |
| Jan 28 2013 |
Commodity Futures Trading Commission "CFTC" Amends Order of Registration and Approves Rulebook for LCH.Clearnet LLC |
Katten |
