| Jan 29 2015 |
You Say “Tom‘ah’to,” I Say “Tom‘ay’to”: Determining the Correct Pronunciation of Uniquely Coined Trademarks |
Katten |
| Aug 14 2015 |
Federal Reserve Issues Clarification of Debit Card Interchange Rule in Response to Court Action |
Katten |
| Feb 1 2015 |
SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S |
Katten |
| Jan 12 2013 |
NYSE Eliminates Certain Equities Account Type Indicators |
Katten |
| Apr 3 2020 |
Agencies to Consider Comments on Volcker Rule Modifications |
Katten |
| Aug 29 2016 |
Bail-In and Contractual Recognition: Impact on US and Other Non-EU Counterparties, Potential Impact of Brexit |
Katten |
| Aug 21 2015 |
CFTC Proposes Cleared Swap Reporting Amendments |
Katten |
| Jan 20 2013 |
CFTC Issues Exemptive Order to ICE Clear Credit Permitting Commingling and Portfolio Margining of Cleared Credit Default Swaps and Security-Based Swaps |
Katten |
| Sep 2 2016 |
SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities |
Katten |
| Feb 17 2017 |
FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan |
Katten |
| Dec 26 2021 |
Securities Regulatory and Enforcement: Four Asset Management Trends |
Katten |
| Jan 27 2013 |
National Futures Association "NFA" Issues Notice Regarding CTA Reporting Requirements |
Katten |
| Apr 12 2019 |
SEC Adopts Rules to Modernize and Simplify Disclosure |
Katten |
| Jun 26 2014 |
The Early Bird Gets the Trademark: Don’t Delay Filing Intent-to-Use Applications |
Katten |
| Jun 27 2014 |
Commodity Futures Trading Commission (CFTC) Extends Relief to Futures Commission Merchants (FCMs) from Certain Commingling Requirements |
Katten |
| Sep 9 2016 |
CFTC Finalizes System Safeguards Testing Requirements |
Katten |
| Feb 5 2013 |
Consumer Financial Protection Bureau (CFPB) Delays Remittance Rule |
Katten |
| Apr 22 2019 |
Bridging the Week by Gary DeWaal: April 15 – 19 and April 22, 2019 (Privacy Requirements No Secret; Not Quite the "Thrilla in Manila") |
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 |
| Oct 13 2018 |
NFA Bylaw 1303 Amendments To Take Effect October 31 |
Katten |
| Feb 17 2013 |
Financial Industry Regulatory Authority (FINRA) Offers Changes to Proposed Rules Governing Markups, Commissions and Fees |
Katten |
| Feb 23 2018 |
Supreme Court Limits Scope of Dodd-Frank Whistleblower Protections |
Katten |
| Apr 26 2019 |
OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P |
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 |
| Sep 22 2017 |
CFTC Provides No-Action Relief From Commission Regulation 4.7(b)(2) Reporting Requirements |
Katten |
| Mar 2 2018 |
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities |
Katten |
| May 3 2019 |
FINRA Issues Warning on Imposter Website Threat |
Katten |
| Apr 17 2020 |
FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive |
Katten |
| Dec 20 2019 |
SEC Proposes New Rules to Implement Resource Extraction Disclosure Rules |
Katten |
| Dec 21 2019 |
FINRA’s Board of Governors Approves Two Rule Proposals |
Katten |
| Nov 5 2018 |
New Proposed Rules Limit the Negative Tax Consequences of Section 956 "Deemed Dividends" |
Katten |
| Mar 9 2013 |
Supreme Court Denies Securities and Exchange Commission (SEC) Extra Time to Bring Enforcement Actions for Civil Penalties |
Katten |
| Oct 2 2015 |
CFTC Permits ICE Trade Vault to Accept Interest Rate and Foreign Exchange Swaps |
Katten |
