| Jan 31 2020 |
OCIE Provides Observations on Cybersecurity and Operational Resiliency Best Practices |
Katten |
| Sep 26 2014 |
SEC Releases Strategic Plan for 2014–2018 |
Katten |
| May 4 2020 |
Between Bridges Gary DeWaal: May 4, 2020 (Block Trades; EFRPs, Wash Trades; GSCs; CBDCs; Privacy Violations; Misrepresentations by IAs) |
Katten |
| Aug 10 2023 |
Non-Competes: Movement on both sides of the Atlantic |
Katten |
| Apr 17 2015 |
US Sentencing Commission Revises Sentencing Guidelines for Fraud |
Katten |
| Nov 6 2015 |
CME Group Issues Notice Regarding Position Limits and Accountability Levels |
Katten |
| Nov 10 2017 |
SEC Approves a Longer Period to Review Fees for the Consolidated Audit Trail |
Katten |
| Feb 21 2023 |
SEC Announces Inspection Priorities for 2023 |
Katten |
| Oct 6 2020 |
ILPA Releases Deal-By-Deal Model LPA |
Katten |
| May 6 2016 |
Federal Reserve Board Proposes Restrictions on Qualified Financial Contracts Used by Systemically Important Banking Organizations |
Katten |
| Apr 20 2018 |
FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee |
Katten |
| Jan 31 2014 |
SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule” |
Katten |
| Oct 3 2014 |
National Futures Association (NFA) Issues Notice Regarding Commodity Pool Operators (CPO) and Commodity Trading Advisors (CTA) Reports and Filing Requirements |
Katten |
| Apr 29 2017 |
European Commission Publishes Speech on Equivalence and Supervisory Convergence |
Katten |
| Feb 5 2014 |
Federal Trade Commission (FTC) Settles With Businesses Who Allegedly Misrepresented US-EU Safe Harbor Certification |
Katten |
| Apr 25 2015 |
CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors |
Katten |
| Nov 17 2017 |
FINRA Releases a Regulatory Notice That the SEC Approved the CAT Fee Dispute Resolution Process |
Katten |
| Apr 27 2018 |
US and UK Announce New Financial Regulatory Working Group |
Katten |
| May 5 2017 |
NYSE Issues Proposed Rule to Allow Listing Without an IPO |
Katten |
| Jul 1 2019 |
SEC Adopts Additional Rules for Security-Based Swaps |
Katten |
| May 16 2016 |
Bridging the Week by Gary DeWaal: May 9 - 13 and May 16, 2016 (Personal Liability; Rogue Trader; Hubris Risk; Spoofing) |
Katten |
| May 1 2015 |
CFTC’s Global Markets Advisory Committee Meeting on May 14 |
Katten |
| May 4 2018 |
CFTC Staff Issues Interpretive Guidance Regarding Aggregation by Passive Pool Investors |
Katten |
| May 12 2017 |
FINRA Proposed Rule Change to the Consolidated Audit Trail |
Katten |
| Nov 30 2015 |
Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] |
Katten |
| Feb 21 2014 |
OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - Re: Over-the-counter Financial Trading Markets |
Katten |
| Dec 4 2017 |
Bridging the Weeks: November 20 – December 1 and December 4, 2017 (Bitcoin, EFRPs, Wash Sales, Spoofing) [VIDEO] |
Katten |
| May 11 2018 |
SEC Guidance Expanding Exclusions for Non-GAAP Information |
Katten |
| May 9 2015 |
SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies |
Katten |
| Dec 9 2016 |
Supreme Court Rules on Insider Trading Involving Family and Friends |
Katten |
| May 14 2018 |
Bridging the Week by Gary DeWaal: May 7 to 11 and May 14, 2018 (Whistleblowing; Piling On; Mismarks; Insider Trading; Let’s Talk About ICOs) [VIDEO] |
Katten |
| Apr 23 2013 |
More Securities Fraud Cases Now Involve Foreign Regulators |
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 |
| Dec 8 2017 |
FINRA Releases Report on FINRA Examination Findings |
Katten |
| Feb 26 2024 |
Updates on EV Tax Credits |
Katten |
