| Jul 24 2020 |
CFTC Swap Transactions Update July 2020 |
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 |
| Feb 6 2017 |
Bridging the Week: January 30 to February 3 and February 6, 2017 (Making Regulation Great Again; Fraud-Based Manipulation; AML) |
Katten |
| Feb 7 2015 |
Federal Reserve Board Invites Comments on Small Bank Holding Company Policy Statement |
Katten |
| Jan 13 2013 |
Second Circuit Holds Section 16(b) Inapplicable to Different Classes of Common Stock |
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 |
| Apr 3 2020 |
SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 |
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 |
| Sep 30 2013 |
Commodity Futures Trading Commission (CFTC) Grants LCH.Clearnet Time-Limited No-Action Relief to Clear Swaps Executed on Designated Contract Markets (DCMs) or Swap Executed Facilities (SEFs) |
Katten |
| Aug 18 2017 |
SEC Issues Risk Alert on Observations From Cybersecurity Examinations |
Katten |
| Jan 21 2013 |
Life Sciences Company Obtains Dismissal of Shareholder Class Action |
Katten |
| Feb 17 2015 |
National Futures Association (NFA) Modifies EasyFile for Pool Annual Financial Statements |
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 |
| Apr 12 2019 |
FINRA Issues Regulatory Notice Regarding Departing Registered Representatives |
Katten |
| Jan 26 2013 |
2012 Trends in Securities Class Action Filings |
Katten |
| Aug 25 2017 |
Bridging the Week: August 14 to 18 and August 21, 2017 (Wash Trades; Spoofing; Bank Capital; Virtual Currency Businesses) |
Katten |
| Oct 13 2013 |
SEC Launches Public Website for Analyzing Exchange Data |
Katten |
| Feb 4 2013 |
Federal Reserve Announces Dates for Release of Stress Test and Comprehensive Capital Analysis and Review (CCAR) Results |
Katten |
| Sep 13 2015 |
SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators |
Katten |
| Feb 16 2018 |
CFTC Issues Order of Registration to ICE Futures Singapore |
Katten |
| Mar 4 2016 |
NFA Issues Notice Regarding Cybersecurity Self-Examination Questionnaire |
Katten |
| Feb 24 2017 |
DOJ Publishes Guidance on Best Practices for Compliance Programs |
Katten |
| Oct 5 2018 |
NFA Issues Notice on Calculating Financial Ratios on NFA Forms PQR and PR |
Katten |
| Apr 26 2019 |
FINRA Forms Office of Financial Innovation |
Katten |
| Feb 18 2013 |
Commodity Futures Trading Commission (CFTC) Permits Cantor Clearinghouse to Clear Certain Foreign Exchange Options |
Katten |
| Jun 21 2023 |
Four Key Considerations Since SEC Amended Form PF |
Katten |
| Mar 6 2015 |
Meeting of the SEC Advisory Committee on Small and Emerging Companies |
Katten |
| Mar 11 2016 |
What Does the US Supreme Court Ruling Mean for Local Affordable Housing Laws? |
Katten |
| Sep 26 2015 |
IRS Addresses RIC Asset Diversification Requirements |
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 |
| Apr 14 2020 |
New IRS Guidance on Forbearances and Modifications of Mortgage Loans as a Result of COVID-19 |
Katten |
| Jul 20 2014 |
District Court Clarifies Statute of Repose Timeline in Material Misstatement Case |
Katten |
| May 3 2019 |
CBOE Proposes Changes to Its Processes and Rules Concerning Investigative and Disciplinary Matters |
Katten |
| Mar 18 2016 |
CFTC Approves Final Rule Eliminating Certain Reporting and Recordkeeping Requirements for Trade Option End-Users |
Katten |
