| Dec 9 2016 |
CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule |
Katten |
| May 22 2017 |
US Supreme Court Limits Venue in Patent Cases—Is It the Death Knell for Forum Shopping? |
Katten |
| Mar 10 2023 |
SEC Clarifies 'Pay versus Performance' Disclosure Rules |
Katten |
| May 5 2013 |
Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities |
Katten |
| Jul 27 2019 |
CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers |
Katten |
| Oct 10 2014 |
FINRA Proposes to Make Permanent the Limited Fee Waiver Pilot Program for TRACE Data |
Katten |
| Dec 15 2017 |
CFTC Requests Comment on Proposed Exemptive Order to Permit ICE Clear Credit, ICE Clear US and ICE Clear Europe to Invest Customer Funds in French and German Sovereign Debt |
Katten |
| May 29 2020 |
FCA Proposes Part 3 of NFA’s Compliance Rules Regarding Disciplinary Process Amendments and Technical Amendments to Various Rules & Interpretive Notices |
Katten |
| Apr 9 2021 |
FINRA Proposes Extension of Temporary COVID-19 Related Amendments |
Katten |
| Jun 2 2017 |
NFA Issues Notice Regarding Monthly Risk Data Reporting Requirements for Swap Dealers |
Katten |
| Jun 5 2015 |
SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules |
Katten |
| Mar 8 2024 |
SEC Finalizes Much-Anticipated Climate Disclosure Rules |
Katten |
| Jun 1 2013 |
Securities and Exchange Commission (SEC) Division of Corporation Finance Issues 13 New and Revised Compliance and Disclosure Interpretations (C&DIs) |
Katten |
| Jun 10 2016 |
SEC Adopts Trade Acknowledgement and Verification Rules for Security-Based Swaps |
Katten |
| Dec 11 2015 |
CFTC Extends Continued No-Action Relief From Certain Recordkeeping Requirements |
Katten |
| Nov 10 2014 |
NFA (National Futures Association) Changes Public Display of FCM Financial Information on BASIC |
Katten |
| Dec 4 2020 |
Possible Life After 2021 for Some US Dollar LIBOR Tenors |
Katten |
| Jun 17 2017 |
FINRA Proposes Rule Change to Extend the Implementation of Margin Requirements for Credit Default Swaps |
Katten |
| Dec 18 2015 |
CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs |
Katten |
| Jun 21 2017 |
FINRA Proposes Rule Change Regarding Trade Modifiers and the Reporting of Transactions in US Treasury Securities |
Katten |
| Nov 14 2014 |
Commodity Futures Trading Commission (CFTC) Issues Further Relief for Package Transactions |
Katten |
| Apr 29 2021 |
Businesses Must Prepare For Expansive AML Reporting of Beneficial Ownership Interests |
Katten |
| Aug 30 2019 |
CFTC Seeks Nominations and Public Comment on Priorities for the Energy and Environmental Markets Advisory Committee |
Katten |
| Apr 11 2014 |
CFTC (Commodity Futures and Trading Commission) Reissues and Clarifies Relief Regarding Swaps Trading on MTFs (Multilateral Trading Facilities) |
Katten |
| Jun 23 2017 |
CFPB Seeks Comment on Proposed Changes to Prepaid Rule |
Katten |
| Jun 30 2013 |
Federal Reserve to Vote on Final Capital Rules |
Katten |
| Nov 23 2014 |
CFTC Proposes to Revise Interpretation on Forward Contracts with Embedded Volumetric Optionality |
Katten |
| Apr 18 2014 |
SEC (Securities and Exchange Commission) Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access |
Katten |
| Jan 6 2017 |
NFA Updates the Forex Regulatory Guide |
Katten |
| Jun 19 2020 |
NYSE Proposes Rule Changes Regarding the Partial Re-Opening of the Trading Floor |
Katten |
| Jul 16 2013 |
Securities and Exchange Commission (SEC) Adopts and Proposes New Rules, Including Easing the Prohibition on General Solicitation |
Katten |
| Dec 8 2014 |
SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report |
Katten |
| Dec 9 2014 |
Bridging the Week: December 1 to 5 and 8, 2014 [VIDEO] |
Katten |
| Jul 8 2016 |
CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs |
Katten |
| Jan 13 2017 |
CFTC Proposes To Amend Recordkeeping Requirements in January 2017 |
Katten |
