| Aug 4 2013 |
Commodity Futures Trading Commission (CFTC) Grants Relief to Commodity Trading Advisor (CTA) and Investment Advisors (IA) from Swap Block Trade Aggregation Prohibition |
Katten |
| Jan 22 2016 |
SEC Adopts Interim Final Rules as Mandated by the FAST Act |
Katten |
| Jul 25 2016 |
Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] |
Katten |
| Jan 25 2017 |
EPA Issues Notice Delaying Implementation of Thirty Regulations |
Katten |
| Jan 25 2016 |
Bridging the Week: January 18–22 and 25, 2016 (Manipulation; CFTC's Priorities; Misstating Fees and Valuation; Canada OTC Clearing; CFTC’s Finances) |
Katten |
| Nov 7 2023 |
SEC Accelerates Beneficial Ownership Filing Deadlines but Holds Off on Other Changes |
Katten |
| Jan 12 2015 |
FINRA Exams; China Futures Exchanges Opening Up; Disruptive Trading Redux; Charlie Hebdo- Bridging the Week: January 5 to 9 and 12, 2015 [VIDEO] |
Katten |
| Nov 8 2023 |
Action Required: Corporate Transparency Act Reporting Is Here |
Katten |
| May 23 2014 |
National Futures Association (NFA) Adopts Fee for Registration Non-Disclosures |
Katten |
| Nov 25 2012 |
CFTC Issues FAQ on Energy Agreements |
Katten |
| Jul 10 2020 |
FINRA Updates on July 10, 2020 |
Katten |
| Nov 15 2023 |
President Biden Issues Executive Order on Safe, Secure and Trustworthy Artificial Intelligence |
Katten |
| Jan 23 2015 |
HSR Act Thresholds to Rise on February 20 |
Katten |
| Aug 7 2015 |
BATS Proposes Rule to Expedite Action Against Manipulative Behavior |
Katten |
| May 3 2024 |
US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern |
Katten |
| Dec 3 2012 |
SEC Publishes List of Rules to Be Reviewed Over Next 12 Months |
Katten |
| Feb 5 2016 |
NFA Issues Notice Regarding Swap Valuation Dispute Notices |
Katten |
| Dec 4 2012 |
SEC Whistleblower Report Highlights New Program's Activity and Success |
Katten |
| Aug 31 2018 |
Statement on Status of the Consolidated Audit Trail |
Katten |
| Aug 12 2016 |
FINRA Issues Notice Reminding Member Firms of “Time of Execution” Reporting |
Katten |
| Nov 20 2023 |
2023 Year-End Estate Planning Advisory |
Katten |
| Dec 13 2012 |
Joint Press Statement Regarding OTC Derivatives Market |
Katten |
| Mar 31 2020 |
The CARES Act From a Health CARE Perspective |
Katten |
| Jan 8 2021 |
Elad Roisman Named Acting Chairman of SEC |
Katten |
| Jan 30 2015 |
Hong Kong Study Finds Executive Compensation Clawback Provisions Do Not Eliminate Possible Earnings Manipulation |
Katten |
| Aug 18 2017 |
CFTC Suspends Need of Formal Notice for Position Disaggregation Relief |
Katten |
| Sep 14 2018 |
CFTC and Monetary Authority of Singapore Sign Arrangement To Cooperate on FinTech Innovations & NFA Issues Notice of Effective Date for Amendments to Security Futures Contracts’ Risk Disclosure Statement |
Katten |
| Nov 1 2019 |
FINRA Issues 2019 Report on Examination Findings and Observations |
Katten |
| Feb 6 2015 |
Regulators Release Guidance on Private Student Loans With Graduated Repayment Terms at Origination |
Katten |
| Jul 24 2020 |
OCC Publishes Proposed Rule Regarding “True Lender” |
Katten |
| May 31 2023 |
Bored Ape Yacht Club NFT Drama Isn’t Boring At All |
Katten |
| Jun 20 2014 |
Supreme Court Rules Patent Claims Ineligible as Abstract Ideas, Affirming Federal Circuit in Alice Corp Pty. Ltd. V. CLS Bank Int'l |
Katten |
| Feb 19 2016 |
CFTC Designates NFA as SDR Data Recipient |
Katten |
| Jun 20 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 2360 |
Katten |
| Feb 17 2017 |
SEC Approves Pricing Disclosures for Fixed Income Securities |
Katten |
