| Aug 9 2015 |
Proxy Access—the Devil Is in the Details |
Katten |
| Feb 12 2016 |
Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) |
Katten |
| Dec 26 2012 |
Lona Nallengara to Replace Cross as Corporation Finance Chief |
Katten |
| Sep 15 2013 |
Federal Agencies Seek Comment on Joint Proposed Rule Regarding Credit Risk Retention |
Katten |
| Dec 27 2012 |
Securities and Exchange Commission "SEC" Charges Eight Mutual Fund Directors for Failure on Valuations |
Katten |
| Feb 5 2018 |
Bridging the Week by Gary DeWaal: January 29 to February 2, and February 5, 2018 (Spoofing; FCMs; Software Development; ICOs; Block Trades) [VIDEO] |
Katten |
| May 19 2023 |
ESG Under Attack at House Oversight Committee Hearing |
Katten |
| Mar 29 2019 |
CFTC Staff Issues Research Report on Impact of Automated Orders in Commodity Futures Markets |
Katten |
| Aug 15 2015 |
UK Companies Must Maintain a PSC Register by January 2016 |
Katten |
| Nov 2 2019 |
SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods |
Katten |
| Jan 7 2013 |
National Futures Association "NFA" Issues Guidance on Bylaw 1101 Compliance for Pending Introducing Brokers |
Katten |
| Aug 26 2016 |
SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K |
Katten |
| Jan 8 2013 |
The End of Unlimited FDIC Insurance: How Banks Can Retain—and Depositors Can Protect—Their Uninsured Deposits |
Katten |
| Apr 5 2019 |
SEC Releases Framework for “Investment Contract” Analysis of Digital Assets |
Katten |
| Jan 8 2021 |
CFTC Provides Relief to DCOs from New Daily Reporting Requirements |
Katten |
| Aug 21 2015 |
CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and Requests Public Comment on a Petition by Korea Exchange, Inc. for Exemption From DCO Registration |
Katten |
| Jan 8 2021 |
SEC Again Approves NYSE’s Direct Listing Rules |
Katten |
| Feb 7 2015 |
Federal Reserve Board Invites Comments on Small Bank Holding Company Policy Statement |
Katten |
| Sep 2 2016 |
CFTC Proposes Amendments to Whistleblower Awards Process |
Katten |
| Oct 4 2013 |
Commodity Futures Trading Commission (CFTC) Issues Order Relating to the Continuation, Shutdown and Resumption of Operations Following a Lapse in Appropriations |
Katten |
| Feb 26 2016 |
FDIC Approves Proposal on Deposit Recordkeeping Requirements in Large Bank Failures |
Katten |
| Feb 16 2018 |
CFTC Issues Order of Registration to ICE Futures Singapore |
Katten |
| Oct 5 2018 |
NFA Issues Notice on Calculating Financial Ratios on NFA Forms PQR and PR |
Katten |
| Jul 1 2021 |
Does Section 13(b) of the Federal Trade Commission Act Allow the Federal Trade Commission to Seek Equitable Monetary Relief in Federal Court? Supreme Court Rules ‘No’ |
Katten |
| Feb 17 2015 |
National Futures Association (NFA) Modifies EasyFile for Pool Annual Financial Statements |
Katten |
| Aug 4 2020 |
Corona Viruses and Computer Viruses: It’s Time for a Cyber Health Check-Up |
Katten |
| Jan 15 2021 |
SEC Issues No-Action Letter Regarding Institutional Family Offices |
Katten |
| Sep 4 2015 |
NFA Proposes Interpretive Notice on Information Systems Security Programs |
Katten |
| Nov 22 2019 |
CFTC to Hold Open Commission Meeting on November 25 |
Katten |
| Sep 16 2016 |
Banking Regulators Issue Dodd-Frank Report on Bank Activities and Investments |
Katten |
| Oct 26 2013 |
Swiss National and Former Energy Executive Criminally Charged Under Foreign Corrupt Practices Act (FCPA) |
Katten |
| Sep 13 2015 |
SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators |
Katten |
| Mar 14 2016 |
Bridging the Week: March 7 - 11, and 14, 2016 (Civil Rights Violation; Spoofing; Disorderly Liquidation; Risk Management; Disaggregation) |
Katten |
| Apr 25 2019 |
Not So Secure: OCIE Identifies Regulation S-P Compliance Issues |
Katten |
| Nov 2 2013 |
Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) Propose Rule to Strengthen Liquidity Risk Management |
Katten |
