| Dec 19 2014 |
FCA Imposes Industry Ban on Fare Dodger |
Katten |
| Sep 20 2019 |
CFTC Unanimously Approves Measures Related to Position Limits and Position Accounting for Security Futures Products and Public Rulemaking Procedures |
Katten |
| May 21 2021 |
Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule |
Katten |
| Jul 22 2016 |
FINRA Proposes To Require Members To Report Transactions in US Treasury Securities to TRACE |
Katten |
| Aug 3 2018 |
CFTC Extends No-Action Relief to Shanghai Clearing Firm |
Katten |
| Jan 22 2016 |
Commodity Futures Trading Commission Launches Whistleblower Program’s Website |
Katten |
| Sep 27 2019 |
FINRA Issues Regulatory Notice on Disclosure Innovations for Advertisements and Other Public Communications |
Katten |
| Jan 20 2017 |
CFTC’s Enforcement Division Issues New Advisories on Cooperation |
Katten |
| Aug 17 2013 |
SEC Order Temporarily Exempting Certain Broker Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13H-1 |
Katten |
| Jan 29 2016 |
Crowdfunding Portals Can Now Register with the SEC |
Katten |
| Nov 22 2012 |
House Financial Services Committee Releases Staff Report on MF Global |
Katten |
| Jul 27 2015 |
Bridging the Week: July 20 - 24 and 27, 2015 (27 Enforcement Actions; More MF Global; Lawyer Settles with CFTC; Dodd-Frank Five Years Later) |
Katten |
| Jan 12 2015 |
SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities |
Katten |
| Jan 19 2018 |
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule |
Katten |
| Mar 26 2020 |
COVID-19 Considerations for Employers |
Katten |
| Jul 31 2015 |
SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting |
Katten |
| Aug 27 2018 |
Bridging the Week: August 20 to 24 and August 27, 2018 (CCOs; Annual Compliance Report; Bitcoin Futures ETPs; Reg SHO: Virtual Currency) |
Katten |
| Jul 10 2020 |
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirement |
Katten |
| Dec 1 2012 |
CFTC Issues Required Clearing Determination for Certain Credit Default and Interest Rate Swaps |
Katten |
| Jan 27 2017 |
Sixth Circuit Grants Motion to Pause WOTUS Litigation Pending Supreme Court Review |
Katten |
| Oct 11 2019 |
Proposed IRS Regulations on Modifications of Debt Instruments and Swaps to Replace LIBOR |
Katten |
| Jan 20 2015 |
SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO] |
Katten |
| Sep 13 2013 |
Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives |
Katten |
| Jul 17 2020 |
SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules |
Katten |
| May 1 2024 |
NAD Following FTC's Footsteps in AI Regulation |
Katten |
| Feb 13 2016 |
UK FCA Publishes Policy Statement on the Implementation of UCITS V |
Katten |
| Aug 22 2016 |
Bridging the Week: August 15 to 19 and August 22, 2016 -Whistleblowing; President Banned; Bad Reports; CCP Risk; De Minimis [VIDEO] |
Katten |
| Feb 6 2017 |
Technology Assisted Review Transparency Required in New DOJ Model Second Request |
Katten |
| Jan 30 2015 |
SEC Announces Proxy Voting Roundtable |
Katten |
| Apr 1 2019 |
Bridging the Weeks by Gary DeWaal: March 18 – 29 and April 1, 2019 (Programmer’s Trial; Trade Reporting Headaches; Food Giants Settle Manipulation Enforcement Action) |
Katten |
| Feb 7 2015 |
Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models |
Katten |
| Jan 11 2013 |
The FTC’s Interim Final Red Flags Rule: What It Means for Non-Bank, Short-Term Consumer Lenders |
Katten |
| Feb 9 2015 |
Bridging the Week: February 2 to 6 and February 9, 2015 [VIDEO]- Cybersecurity; Peregrine Financial Fallout; Market Abuse; Collusion |
Katten |
| Jan 8 2021 |
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements |
Katten |
| Feb 26 2016 |
SEC Adopts Additional Rule for Cross-Border Security-Based Swaps |
Katten |
