| Feb 9 2014 |
Securities and Exchange Commission (SEC) Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments |
Katten |
| Nov 13 2017 |
Bridging the Weeks: October 30 – November 10 and November 13, 2017 (Initial Coin Offerings; Price Disclosure; Wash Sales; Audit Trails) |
Katten |
| Sep 13 2022 |
Protecting the Financer of the Conversion of a Passenger Aircraft to a Freighter |
Katten |
| May 1 2015 |
NASAA Launches a Streamlined Filing Process for Form D |
Katten |
| Oct 16 2020 |
CFTC Approves Margin Requirement Rules & Staff Provides Reporting Relief |
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 |
| Apr 15 2013 |
Chicago Mercantile Exchange (CME) Block Trade Advisories Clarify Nonpublic Information Restrictions |
Katten |
| Feb 15 2024 |
SEC Broadens 'Dealer' Definition |
Katten |
| Oct 23 2020 |
CFTC Issues Staff Advisory on Virtual Currency & Approves Final Rule on Security Futures Margin |
Katten |
| May 13 2016 |
SEC Deputy Chief Accountant Discusses Use of Non-GAAP Measures |
Katten |
| May 5 2017 |
SEC Grants No-Action Relief Regarding Created ETF Shares and Failure to Close Transactions |
Katten |
| Oct 23 2020 |
FSB Publishes Global Transition Roadmap on LIBOR |
Katten |
| Feb 16 2024 |
(mis)Conduct, Money & Reputation | Diversity, Financial Crises & Conformity [PODCAST] |
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 |
US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3 |
Katten |
| Oct 30 2020 |
OCC Issues Final “True Lender” Rule |
Katten |
| Jul 12 2019 |
CFTC Grants DCO Registration to Eris Clearing |
Katten |
| May 23 2015 |
OCC Issues Final Rule to Integrate Licensing Rules for National Banks and Federal Savings Institutions |
Katten |
| Dec 11 2017 |
EU and CFTC Implement Mutual Recognition of Derivatives Trading Venues |
Katten |
| Mar 16 2014 |
New York Department of Financial Services Issues Public Order to Invite Virtual Currency Exchange Proposals |
Katten |
| May 22 2020 |
CFTC Division of Enforcement Civil Monetary Penalty Guidance and Seeks Public Comments on Strategic Plan |
Katten |
| Nov 10 2020 |
A Look at Commercial Co-Ventures with 2020 Vision |
Katten |
| Jun 3 2016 |
Consumer Financial Protection Bureau Releases Proposed Payday Rules |
Katten |
| Sep 18 2023 |
Offering of NFTs Allegedly Promoted as Investments Claimed To Be Unregistered Securities Offering by SEC in Settled Enforcement Action |
Katten |
| Jun 2 2013 |
Commodity Futures Trading Commission (CFTC) Issues Interpretive Guidance on Disruptive Trade Practices |
Katten |
| Jun 8 2018 |
CFTC Proposes To Maintain Swap Dealer Registration De Minimis Exception at $8 Billion |
Katten |
| Jun 5 2017 |
Bridging the Week: May 22 to June 2 and June 5, 2017 (Spoofing Again; Principles-Based Rules Rule; Insider Trading; Source Code Theft; Whistle-Blowing While You Work) |
Katten |
| Apr 4 2014 |
OTC (Over the Counter) Derivatives Regulators Group Issues Report to G20 |
Katten |
| Nov 7 2014 |
CFTC Proposes to Amend Recordkeeping Requirements |
Katten |
| Dec 11 2015 |
CFTC To Hold an Open Commission Meeting To Consider Final and Proposed Rules |
Katten |
| Jun 17 2016 |
SEC Approves Revised FINRA Margin Requirements Rule |
Katten |
| Aug 16 2019 |
SEC Proposes to Modernize Business, Legal Proceedings and Risk Factor Disclosures Required by Regulation S-K |
Katten |
| Apr 11 2014 |
CFTC Seeks Comments on ICE Clear Europe Petition--Commodity Futures Trading Commission |
Katten |
| Nov 14 2014 |
CBOE Makes Enhancements to Its Market-Maker Trade Notification System |
Katten |
