| Oct 24 2014 |
CFTC Issues Interpretation Regarding Accounting for Customer Margin Payments Using Automated Clearing House Payment Processing |
Katten |
| May 18 2013 |
Federal Reserve Requires 18 Largest US Bank Holding Companies to Submit Stress Test Results |
Katten |
| Nov 20 2020 |
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings |
Katten |
| Jun 15 2018 |
SEC Charges 13 Private Fund Advisers for Repeated Form PF Filing Failures |
Katten |
| Jun 18 2018 |
Bridging the Week by Gary DeWaal: June 11 – 15 and June 18, 2018 (Ether; Bitcoin; Utility Tokens; Beanie Babies; Block Trades; Position Limits Violations) [VIDEO] |
Katten |
| Nov 1 2014 |
Agencies Request Comment on Proposed Flood Insurance Rule |
Katten |
| Mar 14 2024 |
The 'Effective Spread' of Order Execution Quality Reporting |
Katten |
| Apr 27 2021 |
ESG Issues Become Leading Concern for SEC and CFTC: SEC Warns Investment Advisers and Funds About ESG Disclosures |
Katten |
| Jun 24 2016 |
SEC Proposes Rules Updating Mining Registrant Disclosure Requirements |
Katten |
| Jun 1 2013 |
National Futures Association (NFA) Issues Notice to Members Regarding Section 16 Financial Requirements for Cleared Swaps Customer Collateral |
Katten |
| Mar 28 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 4210 |
Katten |
| Nov 7 2014 |
SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution |
Katten |
| Apr 30 2021 |
Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement |
Katten |
| Jun 10 2013 |
Commodity Futures Trading Commission (CFTC) Staff Issues New and Extends Current No-Action Relief |
Katten |
| Jun 19 2015 |
SEC Denies Motion to Stay Regulation A+ |
Katten |
| Dec 20 2016 |
Risk Retention in Commercial Mortgage-Backed Securities: Look Back and Look Forward |
Katten |
| Mar 23 2020 |
Bridging the Week by Gary DeWaal: March 16 - 20 and March 23, 2020 (COVID-19) |
Katten |
| Dec 4 2020 |
New NFA Interpretation Requires Approval of Swap Marketing Materials |
Katten |
| Jun 12 2020 |
CFTC Extends No-Action Relief to Registrants In Response to COVID-19 Pandemic |
Katten |
| Nov 14 2014 |
Recent Key Bitcoin and Virtual Currency Regulatory and Law Enforcement Developments |
Katten |
| Aug 30 2019 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2020 |
Katten |
| Jan 8 2016 |
CFTC Requests Comment on Draft Technical Specifications for Swap Data |
Katten |
| Dec 11 2020 |
CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals |
Katten |
| Jul 9 2018 |
Employment Matters – June 2018 |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Obtains Settlement for Violations of Registration Rules and “Layering” |
Katten |
| Sep 13 2019 |
FINRA Issues Call for Candidates in Upcoming Small Firm Advisory Committee Election |
Katten |
| Jul 15 2016 |
SEC Division of Corporation Finance Issues New C&DIs on A/B Exchanges |
Katten |
| May 20 2021 |
Intellectual Property: Top 5 Tips for Brand Protection |
Katten |
| Jul 7 2017 |
CFTC Issues Conditional No-Action Relief From Swap Data Repository Reporting |
Katten |
| Jul 20 2018 |
SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems |
Katten |
| Apr 25 2014 |
CME Group Inc. Launches Exchange Action Database re: Futures and Options Exchanges |
Katten |
| Sep 20 2019 |
SEC Issues Security-Based Swap Recordkeeping and Reporting Rules |
Katten |
| Jul 16 2013 |
Commodity Futures Trading Commission (CFTC) Grants No-Action Relief to Swap Dealers and Major Swap Participants Regarding Relationship Documentation and Business Conduct |
Katten |
| Dec 13 2014 |
Basel Publishes Assessment Reports for the European Union and United States |
Katten |
| Jan 5 2018 |
FINRA Proposes To Extend the Expiration Date of FINRA Rule 0180 |
Katten |
