| Apr 14 2017 |
NFA Issues Notice Regarding Updated FinCEN AML/CFTC Guidance |
Katten |
| Apr 5 2013 |
SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) |
Katten |
| Jan 31 2020 |
NFA’s Swaps Proficiency Requirements Effective and Available Online |
Katten |
| Jun 14 2019 |
NFA Amends Swaps Supervision Requirements and Makes Technical Changes to NFA Rules and Interpretive Notices |
Katten |
| Sep 26 2014 |
SEC Releases Strategic Plan for 2014–2018 |
Katten |
| Oct 9 2020 |
NFA Issues Notice on Expiration of Temporary Relief from Fingerprinting Requirements |
Katten |
| Oct 10 2020 |
CFTC Announces Open Commission Meeting to Consider Final Rules on Margin Requirements for Uncleared Swaps, Registration Exemptions for Foreign Intermediaries and Derivative Position Limits |
Katten |
| Feb 6 2020 |
Bridging the Week by Gary DeWaal: January 20 to 24 and January 27, 2020 (Position Limits Redux; Programmer Liability; Security or Virtual Currency) |
Katten |
| Apr 20 2018 |
FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee |
Katten |
| Nov 10 2017 |
SEC Approves a Longer Period to Review Fees for the Consolidated Audit Trail |
Katten |
| Feb 7 2020 |
Bridging the Weeks by Gary DeWaal: December 23, 2019, to January 10, 2020, and January 13, 2020 (Examination Priorities; Slow Down, You Move Too Fast; Disruptive Trading) |
Katten |
| Jan 31 2014 |
SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule” |
Katten |
| Oct 3 2014 |
National Futures Association (NFA) Issues Notice Regarding Commodity Pool Operators (CPO) and Commodity Trading Advisors (CTA) Reports and Filing Requirements |
Katten |
| Nov 16 2015 |
SEC Chastised; Cybersecurity; Hacking; Supervision; Compliance Outsourcing; the Cloud - Bridging the Week: November 9 - 13 and 16, 2015 [VIDEO] |
Katten |
| Feb 5 2014 |
Federal Trade Commission (FTC) Settles With Businesses Who Allegedly Misrepresented US-EU Safe Harbor Certification |
Katten |
| Apr 29 2017 |
European Commission Publishes Speech on Equivalence and Supervisory Convergence |
Katten |
| May 8 2020 |
SEC Orders Submission of New NMS Plan |
Katten |
| Apr 27 2018 |
US and UK Announce New Financial Regulatory Working Group |
Katten |
| Nov 17 2017 |
FINRA Releases a Regulatory Notice That the SEC Approved the CAT Fee Dispute Resolution Process |
Katten |
| Feb 14 2020 |
FINRA Issues Investor Alert Regarding Required Minimum Distributions |
Katten |
| Nov 21 2015 |
CFTC To Hold Open Commission Meeting on Automated Trading |
Katten |
| Feb 17 2020 |
Bridging the Week by Gary DeWaal: February 10 to 14, and February 17, 2020 (Cryptoasset Trading Platforms; Manipulation and Contempt) |
Katten |
| Jun 28 2019 |
CFTC Publishes Request for Comment on Proposed Rule Change to Cross-Border Regulatory Commitments |
Katten |
| Oct 23 2020 |
SEC Adopts Amendments to Modernize Auditor Independence Rules |
Katten |
| May 13 2016 |
FCA Conduct Forum on MiFID II Implementation |
Katten |
| May 5 2017 |
NYSE Issues Proposed Rule to Allow Listing Without an IPO |
Katten |
| May 4 2018 |
CFTC Staff Issues Interpretive Guidance Regarding Aggregation by Passive Pool Investors |
Katten |
| Feb 21 2014 |
OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - Re: Over-the-counter Financial Trading Markets |
Katten |
| May 11 2018 |
SEC Guidance Expanding Exclusions for Non-GAAP Information |
Katten |
| May 12 2017 |
FINRA Proposed Rule Change to the Consolidated Audit Trail |
Katten |
| May 14 2018 |
Bridging the Week by Gary DeWaal: May 7 to 11 and May 14, 2018 (Whistleblowing; Piling On; Mismarks; Insider Trading; Let’s Talk About ICOs) [VIDEO] |
Katten |
| Dec 4 2017 |
Bridging the Weeks: November 20 – December 1 and December 4, 2017 (Bitcoin, EFRPs, Wash Sales, Spoofing) [VIDEO] |
Katten |
| Apr 23 2013 |
More Securities Fraud Cases Now Involve Foreign Regulators |
Katten |
| Dec 8 2016 |
Reaction to Uncertainty in Affordable Housing Industry Brought on by Trump Election |
Katten |
| May 20 2016 |
Public Company Accounting Oversight Board Re-Proposes Auditor Reporting Standard to Enhance Auditor Reports |
Katten |
