| Feb 8 2014 |
Commodity Futures Trading Commission (CFTC) Issues Guidance on New Filing Requirements |
Katten |
| May 4 2015 |
Bridging the Week: April 27 to May 1 and 4, 2015 (More Spoofing; Flash Boys Again; Cybersecurity; CCP Risk; Security-Based Swaps) |
Katten |
| Sep 19 2016 |
Office of the Comptroller of the Currency Rule Would Prohibit Bank and Thrift Dealing and Investing in Industrial or Commercial Metals |
Katten |
| Oct 4 2019 |
SEC Proposes to Amend Quotation Rule for OTC Securities |
Katten |
| Aug 6 2018 |
Bridging the Weeks by Gary DeWaal: July 23 to August 3 and August 6, 2018 (Post-Trade Allocations; Exchange-Traded Products; Statutory Requirements) |
Katten |
| May 15 2023 |
Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity |
Katten |
| Nov 14 2023 |
Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution Facility Rules |
Katten |
| Mar 17 2019 |
NFA Issues Notices I-19-07 & I-19-08 |
Katten |
| Oct 11 2019 |
FINRA Provides Member Firms with New Reg BI and Form CRS Resources |
Katten |
| May 18 2023 |
With AI, You Can Innovate—but Don’t Overstate, Understate, or Discriminate |
Katten |
| Apr 20 2013 |
American Bankers Association (ABA) Endorses Bill to Mandate Examination Fairness |
Katten |
| Jan 30 2017 |
Bridging the Week: January 17 to 27 and January 30, 2017 (Priorities; Whistleblowing; How Could They Know?; AML Officer Sued) [VIDEO] |
Katten |
| Jul 10 2020 |
SEC Raises Filing Threshold of Rule 17h Reporting Requirements for Broker-Dealers |
Katten |
| Mar 2 2014 |
CFTC Issues Advisory on Compliance with Gramm-Leach-Bliley Act Security Safeguards - Commodity Futures Trading Commission |
Katten |
| Mar 22 2019 |
CFTC Announces Energy and Environmental Markets & Global Markets Advisory Committee Meetings |
Katten |
| Aug 4 2017 |
OCC Seeks Volcker Rule Comments |
Katten |
| May 6 2013 |
US Aircraft Regulatory Registration Basics for Financings |
Katten |
| Oct 10 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Extend Tier Size Pilot for OTC Equity Securities |
Katten |
| Feb 6 2017 |
Bridging the Week: January 30 to February 3 and February 6, 2017 (Making Regulation Great Again; Fraud-Based Manipulation; AML) |
Katten |
| Mar 29 2019 |
CFTC Staff Issues Research Report on Impact of Automated Orders in Commodity Futures Markets |
Katten |
| Apr 1 2016 |
CFTC Approves Final Rule Providing Alternative to Fingerprinting for Foreign Natural Persons |
Katten |
| Nov 2 2019 |
SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods |
Katten |
| May 3 2024 |
US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern |
Katten |
| Apr 4 2016 |
Complex Regulation; Accessible Data; EFRPs; Blockchain; ISDAfix - Bridging the Week: March 28 – April 1, and 4, 2016 [VIDEO] |
Katten |
| Oct 20 2014 |
Bridging the Week: October 13 to 17 and 20, 2014 (Marking the Close; CPO Delegation; Clearinghouse Recovery; To Tweet or Not to Tweet) |
Katten |
| Oct 17 2016 |
Bridging the Week: October 10 to 14 and October 17, 2016 (Coming to the US; Cross-Border; Liquidity Management; Insider Trading Supervision) |
Katten |
| Jun 5 2015 |
SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers |
Katten |
| Aug 18 2017 |
SEC Issues Risk Alert on Observations From Cybersecurity Examinations |
Katten |
| Apr 5 2019 |
SEC Releases Framework for “Investment Contract” Analysis of Digital Assets |
Katten |
| Oct 26 2014 |
SEC Denies Two Proposed Applications for Non-Transparent Active ETFs |
Katten |
| Jan 8 2021 |
CFTC Provides Relief to DCOs from New Daily Reporting Requirements |
Katten |
| Jan 8 2021 |
SEC Again Approves NYSE’s Direct Listing Rules |
Katten |
| Oct 31 2014 |
Six Federal Agencies Jointly Approve Final Risk Retention Rule |
Katten |
| Aug 25 2017 |
Bridging the Week: August 14 to 18 and August 21, 2017 (Wash Trades; Spoofing; Bank Capital; Virtual Currency Businesses) |
Katten |
| Jul 1 2021 |
Does Section 13(b) of the Federal Trade Commission Act Allow the Federal Trade Commission to Seek Equitable Monetary Relief in Federal Court? Supreme Court Rules ‘No’ |
Katten |
