| Nov 10 2020 |
Mirror, Mirror on the Wall, Who’s the Fairest of Them All? AR Retailing in the 21st Century |
Katten |
| Mar 15 2014 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on Commodity Pool Operator Risk Management Practices |
Katten |
| Jun 3 2016 |
CFTC Grants Registration to Two Foreign Boards of Trade |
Katten |
| Dec 15 2017 |
CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers |
Katten |
| Apr 6 2022 |
SEC Deals New Proposal to Expand Reach of Dealer Registration Requirements |
Katten |
| Apr 8 2022 |
Katten Financial Markets and Funds Quick Take: April 2022 |
Katten |
| Jun 2 2017 |
Federal Banking Agencies Issue Advisory on the Availability of Appraisers |
Katten |
| May 29 2020 |
FINRA Amends Rules Related to Membership Application Program to Promote Payment of Arbitration Awards and Issues Regulatory Notice on Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products |
Katten |
| Apr 13 2022 |
FDIC Requires Reporting of Crypto-Related Activities |
Katten |
| Mar 14 2024 |
Ensuring Everything Is Above Board: CFTC Proposes Simplified Rules for SEF and DCM Governance, Independence and Mitigating Conflicts of Interest |
Katten |
| Nov 20 2020 |
FINRA Files Proposed Rule Change to Address Firms With History of Misconduct |
Katten |
| Nov 21 2020 |
CFTC Extends Relief for SEFs From Certain Block Trade Requirements |
Katten |
| Jun 24 2018 |
Federal Reserve Adopts Final Rule for Single Counterparty Credit Limit |
Katten |
| Aug 12 2019 |
Bridging the Week by Gary DeWaal: August 5 - 9, and August 12, 2019 (Securities or Not; Swap Dealer Misleading Information; Market Abuse) |
Katten |
| Jun 16 2013 |
Commodity Futures Trading Commission (CFTC) Expands List of Acceptable Legal Entity Identifiers |
Katten |
| Apr 6 2014 |
Commodity Futures Trading Commission (CFTC) Issues Interpretation Regarding Auditor Independence Standards |
Katten |
| Nov 10 2014 |
Joint Audit Committee (JAC) Maintains Current Restrictions on Trading While Undermargined and Publishes Summary of Residual Interest Requirements |
Katten |
| Jun 18 2013 |
Patient Safety Organization (PSO) Reminder: Hospitals Need to Contract with a PSO in Order to Participate in State Insurance Exchanges |
Katten |
| Jun 19 2015 |
FDIC Proposes New Premium Assessment System for Small Banks |
Katten |
| Dec 16 2016 |
SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings |
Katten |
| Dec 19 2016 |
Commodity Futures Trading Commission Finalizes Aggregation Rules, Re-Proposes Position Limits Rule |
Katten |
| Jun 23 2016 |
SEC Approves IEX as a National Securities Exchange and Issues Interpretation To Allow IEX "Speed Bump" |
Katten |
| Jun 24 2016 |
CFTC Allows CME To Hold Customer Funds at the Bank of Canada |
Katten |
| Nov 16 2014 |
Commodity Futures Trading Commission (CFTC) Issues 30.7 Customer Funds No-Action Relief and Interpretation |
Katten |
| Oct 10 2023 |
Inside, Outside, USA: Key Developments on the Boundaries of Injunctive Relief in Trademark Disputes |
Katten |
| Apr 11 2014 |
CFTC (Commodity Futures Trading Commission) Extends Relief to FCMs (Futures Commission Merchants) from Certain Commingling Requirements |
Katten |
| Jun 29 2013 |
Portfolio Reconciliation and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants |
Katten |
| Jun 21 2017 |
FINRA Issues Interpretive Letter Regarding Related Performance Information in Institutional Communications |
Katten |
| Aug 23 2019 |
SEC Announced Charges for Regulation FD Violations |
Katten |
| Jun 26 2015 |
CFTC’s Division of Market Oversight Issues Updated Guidebook for Part 20 Reports |
Katten |
| Nov 22 2014 |
FinCEN Updates List of Jurisdictions with AML/CFT Deficiencies |
Katten |
| Apr 18 2014 |
Securities and Exchange Commission (SEC) Brings Lawsuit Against Hedge Fund Manager for Defrauding Investors |
Katten |
| Jan 8 2016 |
CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information |
Katten |
| Jan 10 2016 |
Revised Pay-to-Play Rules |
Katten |
| Dec 5 2014 |
Comptroller of the Currency’s Curry Advocates Regulatory Reduction for Smaller Banks and Thrifts |
Katten |
