| Jan 29 2021 |
FCA Publishes SEC MoU on Financial Services Supervision Post-Brexit |
Katten |
| Feb 24 2013 |
Commodity Futures Trading Commission (CFTC) and International Organization of Securities Commissioners (IOSCO) to Host Roundtable on IOSCO Financial Benchmarks Report |
Katten |
| Jul 18 2014 |
Commodity Futures Trading Commission (CFTC) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal |
Katten |
| Dec 21 2019 |
SEC Adopts Final SBS Cross-Border Rule Amendments and Sets Compliance Date for SBS Dealer Registration |
Katten |
| May 13 2019 |
Bridging the Week by Gary DeWaal: May 6 – 10 and May 13, 2019 (So Many Guidances by CFTC Enforcement, FinCEN and FINRA, So Little Time; The SEC and Jackson Pollock) |
Katten |
| Mar 9 2018 |
SEC Releases Statement on Platforms Trading Digital Assets |
Katten |
| Sep 25 2015 |
SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs |
Katten |
| Jul 26 2022 |
ADA Claims Continue to Snag Online Merchants |
Katten |
| Nov 10 2018 |
CFTC Takes Action on Rules Relating to Swaps and Swap Execution Facilities |
Katten |
| Apr 1 2016 |
CFTC Approves Final Rule Providing Alternative to Fingerprinting for Foreign Natural Persons |
Katten |
| Mar 16 2018 |
SEC Proposes Transaction Fee Pilot Program |
Katten |
| Mar 19 2018 |
Bridging the Week: March 12 to 16 and 19, 2018 (Swaps De Minimis Level; SLR; SEFs; Insider Trading; ICOs) [VIDEO] |
Katten |
| Apr 4 2016 |
Complex Regulation; Accessible Data; EFRPs; Blockchain; ISDAfix - Bridging the Week: March 28 – April 1, and 4, 2016 [VIDEO] |
Katten |
| Oct 17 2016 |
Bridging the Week: October 10 to 14 and October 17, 2016 (Coming to the US; Cross-Border; Liquidity Management; Insider Trading Supervision) |
Katten |
| Mar 24 2017 |
FINRA Seeks Comment on Engagement Programs |
Katten |
| May 24 2019 |
Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments |
Katten |
| Mar 22 2015 |
SEC Staff Issues New FAQs on Regulation SHO |
Katten |
| Oct 7 2015 |
The Court of Justice of the European Union Sinks the Safe Harbor Program |
Katten |
| Sep 18 2020 |
A Call to Internalize Greenhouse Gas Cost Externalities: CFTC Subcommittee Publishes First-of-Its-Kind Report Regarding Climate Change's Impact on Financial Markets |
Katten |
| Apr 24 2020 |
FINRA Updates Guidance Regarding COVID-19 Developments |
Katten |
| Mar 23 2013 |
Commodity Futures Trading Commission (CFTC) Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression |
Katten |
| Aug 22 2014 |
SEC Charges Colorado Woman and Her Two Companies with Offering Fraud |
Katten |
| Mar 31 2017 |
FINRA Issues Regulatory Notice on GASB Accounting Support Fee |
Katten |
| Oct 20 2017 |
Reminder: Action Required by December 31 To Avoid Losing DMCA Safe Harbor Protection |
Katten |
| Oct 20 2017 |
SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure |
Katten |
| Jul 26 2023 |
CFPB's Focus on Standard-Form Consumer Agreements Warrants 'Fresh Eyes' on Consumer Template Disclosures |
Katten |
| Jan 24 2020 |
CFTC to Hold an Open Commission Meeting on January 30 |
Katten |
| Sep 5 2014 |
US Banking Regulators Propose Margin Requirements for Uncleared Swaps |
Katten |
| Oct 28 2017 |
FINRA Proposes to Make Permanent a TRACE-Reporting Exemption |
Katten |
| Nov 7 2016 |
Bridging the Week: October 31 to November 4 and November 7, 2016 (Regulation AT Amended; Audit Partners; EFRPs; Form 40; Brexit) [VIDEO] |
Katten |
| Dec 15 2018 |
CFTC Issues Request for Input on Crypto-Assets |
Katten |
| Jan 10 2014 |
National Futures Association (NFA) Implements Additional Reporting Requirements for Certain FCMs (Futures Commission Merchants) |
Katten |
| Jan 31 2020 |
Federal Reserve Adopts Revamped Standards for Determinations of Bank Control |
Katten |
| Mar 2 2021 |
AML Enforcement Continues to Trend in 2021 |
Katten |
| Apr 14 2017 |
National Adjudicatory Council Revises Sanction Guidelines |
Katten |
