| Dec 26 2012 |
No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net Capital and Customer Protection Rules |
Katten |
| Dec 27 2012 |
Significant New Fees for Group Health Plans in 2014-2016 |
Katten |
| Jan 8 2021 |
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements |
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 |
| Jan 11 2021 |
PPP 2 LOANS —A Second Opportunity for Eligible Businesses to Obtain Forgivable Loans |
Katten |
| Sep 13 2013 |
Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives |
Katten |
| Feb 26 2016 |
SEC Adopts Additional Rule for Cross-Border Security-Based Swaps |
Katten |
| Jul 24 2020 |
FINRA Releases Notice on Expungement of Customer Dispute Information |
Katten |
| Aug 21 2015 |
CFTC Proposes Cleared Swap Reporting Amendments |
Katten |
| Apr 4 2019 |
TTAB Provides Guidelines on Acquiescence |
Katten |
| Dec 26 2021 |
Securities Regulatory and Enforcement: Four Asset Management Trends |
Katten |
| Sep 9 2016 |
CFTC Finalizes System Safeguards Testing Requirements |
Katten |
| Nov 8 2019 |
NFA Issues Notice Regarding the Designation of NFA Swaps Proficiency Requirements Administrator |
Katten |
| Feb 16 2018 |
FCA Provides Update on EMIR United States Equivalence Decision and Intragroup Exemptions |
Katten |
| Jan 15 2021 |
Holding Foreign Companies Accountable Act Signed Into Law by President Trump |
Katten |
| Jan 15 2021 |
2021 Biden Plan Estate Planning Advisory |
Katten |
| Feb 17 2017 |
FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan |
Katten |
| Sep 19 2016 |
FFIEC Publishes Revised Information Security Booklet |
Katten |
| Sep 19 2016 |
De Minimis Threshold; Position Limits; Pre-Execution Communications; Cybersecurity - Bridging the Week [VIDEO] |
Katten |
| Feb 2 2013 |
SEC Extends Expiration Date for Interim Final Rules Providing Exemptions for Security-Based Swaps |
Katten |
| Oct 21 2013 |
Life, Liberty and the Pursuit of Fraud: Using Wartime Powers to Extinguish Statutes of Limitations |
Katten |
| Sep 14 2015 |
Bridging the Weeks: August 31 to September 11 and September 14, 2015 (Spoofing, Individual Accountability, Cybersecurity, Audit Opinions, Hedging and Reporting) |
Katten |
| Mar 18 2016 |
CFTC Extends No Action Relief for SEFs With Respect to Certain Uncleared Swaps Transactions |
Katten |
| Jul 22 2021 |
ESG Remains a Priority: SEC Asset Management Advisory Committee Adopts ESG Disclosure Recommendations |
Katten |
| Apr 10 2020 |
BCBS and IOSCO Announce another Postponement of Swap Initial Margin |
Katten |
| Apr 26 2019 |
FINRA Releases Report on 2018 Fine Monies |
Katten |
| Oct 28 2013 |
Agencies Issue Guidance on Troubled Debt Restructurings |
Katten |
| Feb 26 2013 |
Southern District of New York (SDNY) Favors the Securities & Exchange Commission (SEC) in Foreign Corrupt Practices Act Action Involving Novel Issues of Statutory Interpretation |
Katten |
| Nov 1 2013 |
Office of the Comptroller of the Currency (OCC) Issues Risk Management Guidance |
Katten |
| Mar 3 2013 |
Supreme Court Ruling Lowers Class Action Hurdle for Securities Fraud Cases |
Katten |
| Sep 22 2017 |
CFTC Provides No-Action Relief From Commission Regulation 4.7(b)(2) Reporting Requirements |
Katten |
| Mar 14 2018 |
Are Your Qualified and Nonqualified Employee Benefit Plans in Compliance With the New ERISA Disability Claims Regulations? |
Katten |
| Mar 31 2016 |
FTC's Native Advertising Settlement With Lord & Taylor Highlights Commission's Enforcement Priorities Under Its Recently Issued Guidance |
Katten |
| Oct 14 2016 |
CFTC Further Extends Time-Limited Relief to SEFs for Block Trades |
Katten |
