| Apr 7 2013 |
Federal Deposit Insurance Corporation (FDIC) Announces Availability of Educational Videos |
Katten |
| Apr 10 2017 |
Bridging the Week: April 3-7 and 10, 2017 (Advancing Nominee; Third Party Funds’ Transfers; Record Retention) [VIDEO] |
Katten |
| Mar 5 2021 |
CFTC Announces 2021 Global Markets Advisory Committee Meeting |
Katten |
| Apr 20 2015 |
More Funding; Money Pass; Spoofing; Fiduciary Standards; Custody - Bridging the Week: April 13 to 17 and 20, 2015 |
Katten |
| Jan 31 2020 |
SEC Designates Decision Deadline for Proposed Off-Floor Position Transfer Rule Changes |
Katten |
| Nov 3 2017 |
SEC Division of Corporation Finance Issues C&DI Clarifying Exemptions for Non-GAAP Information in Forecasts for M&A Transactions |
Katten |
| Feb 9 2023 |
EU-US Transborder Data Flows to Be Reviewed by the European Data Protection Board |
Katten |
| Jan 25 2024 |
How Resilient Are You? The CFTC Proposes Operational Resiliency Rules for FCMs, Swap Dealers and Major Swap Participants |
Katten |
| Sep 16 2021 |
A Highlights Reel on NIL Rights for Student Athletes |
Katten |
| Nov 13 2015 |
Agencies Issue Guidance on Capital Deduction Methodology |
Katten |
| Sep 17 2021 |
The Children's Advertising Review Unit Modernizes its Guidelines for Responsible Advertising |
Katten |
| Apr 24 2015 |
DOL Proposes to Revise Definition of “Fiduciary” Under ERISA |
Katten |
| Feb 2 2014 |
Federal Trade Commission (FTC) Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications |
Katten |
| Nov 10 2017 |
SEC Approves a Longer Period to Review Fees for the Consolidated Audit Trail |
Katten |
| Apr 30 2018 |
Bridging the Week by Gary DeWaal: April 23 to 27 and April 30, 2018 (Swaps Clearing, Trading and Reporting; Wire Fraud; Spoofing) [VIDEO] |
Katten |
| Feb 9 2014 |
Securities and Exchange Commission (SEC) Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments |
Katten |
| May 1 2015 |
NASAA Launches a Streamlined Filing Process for Form D |
Katten |
| Apr 29 2017 |
European Commission Publishes Speech on Equivalence and Supervisory Convergence |
Katten |
| Jul 1 2019 |
SEC Adopts Additional Rules for Security-Based Swaps |
Katten |
| Nov 17 2017 |
FINRA Releases a Regulatory Notice That the SEC Approved the CAT Fee Dispute Resolution Process |
Katten |
| May 5 2017 |
NYSE Issues Proposed Rule to Allow Listing Without an IPO |
Katten |
| Apr 15 2013 |
Chicago Mercantile Exchange (CME) Block Trade Advisories Clarify Nonpublic Information Restrictions |
Katten |
| May 13 2016 |
SEC Deputy Chief Accountant Discusses Use of Non-GAAP Measures |
Katten |
| Oct 30 2020 |
CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation & Chairman Statement on Use of Staff Letters & Guidance |
Katten |
| Apr 22 2013 |
Federal Reserve Proposes Assessments for Bank Holding Companies with $50 Billion or Greater in Assets |
Katten |
| Dec 2 2016 |
NFA Proposes Changes to Forex Customer Disclosure Requirements |
Katten |
| May 12 2017 |
FINRA Proposed Rule Change to the Consolidated Audit Trail |
Katten |
| Dec 4 2017 |
Bridging the Weeks: November 20 – December 1 and December 4, 2017 (Bitcoin, EFRPs, Wash Sales, Spoofing) [VIDEO] |
Katten |
| May 23 2015 |
OCC Issues Final Rule to Integrate Licensing Rules for National Banks and Federal Savings Institutions |
Katten |
| Dec 8 2017 |
FINRA Releases Report on FINRA Examination Findings |
Katten |
| Apr 9 2021 |
FINRA Modifications to TRACE Dissemination Protocols for Specified Pool Transactions (MBS) |
Katten |
| Mar 16 2014 |
New York Department of Financial Services Issues Public Order to Invite Virtual Currency Exchange Proposals |
Katten |
| Mar 31 2022 |
BIS Grants Authorization of Aircraft to Leave Russia and Updates List of Aircraft Operating in or to Russia in Violation of Export Controls |
Katten |
| Jun 8 2018 |
CFTC Proposes To Maintain Swap Dealer Registration De Minimis Exception at $8 Billion |
Katten |
| Apr 16 2021 |
FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements |
Katten |
