| Apr 3 2015 |
SEC Brings First Action Against Company for Potentially Stifling Whisteleblowers |
Katten |
| Sep 4 2020 |
CFTC No-Action Letter 20-23: CFTC Provides Additional Relief to Market Participants Transitioning from LIBOR |
Katten |
| Feb 5 2021 |
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report |
Katten |
| Dec 4 2015 |
SEC Approves Changes To Reduce Waiting Period for Release of Information Reported on Form U5 Through BrokerCheck |
Katten |
| Apr 17 2017 |
Bridging the Week: April 10 to 14 and 17, 2017 (Theft of Trade Secrets; No Spoofing; Third-Party Payments; Fake News) [VIDEO] |
Katten |
| Apr 20 2020 |
Secondary Loan Trading Considerations in a COVID-19 World |
Katten |
| Nov 3 2017 |
CFTC Extends No-Action Relief for Certain Swaps Executed as Part of Packaged Transactions |
Katten |
| Dec 7 2015 |
Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud - Bridging the Weeks: November 23 – December 7, 2015 [VIDEO] |
Katten |
| May 23 2014 |
CME Delays Prohibition on Transitory Exchange for Related Positions (EFRPs) |
Katten |
| Aug 18 2013 |
SEC Issues Risk Alert on Options Trading Used to Evade Short-Sale Requirements |
Katten |
| Apr 23 2018 |
Bridging the Week: April 16 to 20 and April 23, 2018 (Actual Delivery, Manipulative or Deceptive Devices; NY AG Sweep; ATS Breakdown) [VIDEO] |
Katten |
| Feb 12 2021 |
NFA Publishes Series of Member Notices Related to Common Deficiencies and Other Regulatory Matters |
Katten |
| Nov 10 2017 |
FINRA Releases Notice to Members Addressing "Pay-to-Play" Rule for Capital Acquisition Brokers |
Katten |
| Apr 17 2015 |
Federal Reserve Board Expands Small Bank Holding Company Policy Statement |
Katten |
| Feb 19 2021 |
New Fees for Rate Paid Under Section 31 of the Exchange Act |
Katten |
| May 2 2018 |
IBLA Reverses BSEE Incident of Noncompliance; Upholds Operator's Right to Determine Scope of Crane Inspections |
Katten |
| Apr 23 2015 |
Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About? |
Katten |
| Nov 13 2015 |
CFTC Extends Swap Data Reporting Relief to Certain Non-US SDs and MSPs |
Katten |
| Apr 24 2015 |
SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting |
Katten |
| Sep 16 2013 |
SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule 204 of Regulation SHO |
Katten |
| Aug 3 2022 |
Futures Audit Trails Requirements: A Compliance Minefield? |
Katten |
| Jan 23 2019 |
FAA Rules for Drone Flights Over People and at Night |
Katten |
| Jan 4 2016 |
FTC Issues Much-Anticipated Guidance Regarding "Native" Advertising |
Katten |
| Feb 28 2020 |
FINRA Reminds Member Firms of Their Supervision Responsibilities of UTMA and UGMA Accounts |
Katten |
| Oct 1 2020 |
Maximizing Returns Through Effective Management of Engine Performance Restoration: Five Cases |
Katten |
| Nov 24 2015 |
Victim of Fraud Sued for Fraud |
Katten |
| Oct 5 2020 |
SBA Consent Requirements for M&A Transactions with PPP Loans |
Katten |
| Jan 10 2016 |
Notice of Filing of Proposed Rule Change To Adopt Capital Acquisition Broker Rules |
Katten |
| May 19 2017 |
CFTC’s Division of Clearing and Risk Extends No-Action Relief for Shanghai Clearing House |
Katten |
| May 25 2018 |
CFTC and NASAA Sign Agreement & Foreign Board Trade Applications |
Katten |
| May 15 2015 |
Revised Interagency Examination Procedures for Consumer Compliance |
Katten |
| Jul 15 2016 |
New Proposed SEC Rules for the Disclosure of Order Handling Information |
Katten |
| Jul 18 2016 |
Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions |
Katten |
| Oct 21 2013 |
Life, Liberty and the Pursuit of Fraud: Using Wartime Powers to Extinguish Statutes of Limitations |
Katten |
| Oct 16 2020 |
Federal Reserve Begins Census of Commercial Lenders |
Katten |
