| Nov 4 2018 |
CFTC’s Office of the Chief Economist Issues Report on Initial Margin Phase 5 |
Katten |
| Oct 14 2016 |
“Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility |
Katten |
| Dec 8 2013 |
Commodity Futures Trading Commission (CTFC) Open Meeting on Proprietary Trading and Block Trading |
Katten |
| Mar 17 2015 |
Bridging the Week: March 9 to 13 and 16, 2015 re: CFTC, False Claims Act, FINRA and more [VIDEO] |
Katten |
| Oct 2 2015 |
Institutional Shareholder Services (ISS) Publishes Results of 2015–2016 Annual Global Policy Survey |
Katten |
| May 17 2019 |
FINRA Launches Initiative to Simplify Firms’ Digital Experience With FINRA, Facilitating More Efficient and Effective Compliance Programs |
Katten |
| Dec 14 2013 |
Concurrent Resolution of Foreign Corrupt Practices Act (FCPA), Export Controls and Sanctions Violations Demonstrates Close Cooperation of Federal Agencies |
Katten |
| Jan 26 2023 |
Not-So-Open Gaming License: Dungeons & Dragons Publisher Tries to Tighten Grip on Third-Party Content |
Katten |
| Nov 16 2018 |
SEC Approves New Supplement to Options Disclosure Document |
Katten |
| Mar 23 2013 |
Commodity Futures Trading Commission (CFTC) Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression |
Katten |
| Dec 22 2013 |
SEC Announces Enforcement Results for 2013 |
Katten |
| Aug 24 2021 |
Agencies and Regulators Focus on AML Compliance for Cryptocurrency Industry |
Katten |
| Sep 13 2014 |
Banking Agencies Request Comment on Proposed Questions and Answers Regarding Community Reinvestment |
Katten |
| Feb 26 2021 |
SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers |
Katten |
| Apr 22 2016 |
Federal Reserve to Expand Off-Site Examinations |
Katten |
| Sep 25 2020 |
NFA Announces Webinar to Debut Updated Annual Questionnaire |
Katten |
| Apr 6 2018 |
ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2018 |
Katten |
| Jun 7 2019 |
SEC Approves Amendments to FINRA’s Codes of Arbitration Procedure for Customer and Industry Disputes |
Katten |
| Oct 30 2015 |
Institutional Shareholder Services Releases 2016 Draft Voting Policy Changes for Comment |
Katten |
| Apr 11 2017 |
SEC Issues Update for Advisers Relying on Unibanco No-Action Letters |
Katten |
| Sep 29 2014 |
Peregrine; Smoot-Hawley; Unauthorized Swap Trades; Ontario Exemptions; Father and Son Sanctioned Together - Bridging the Week: September 22 to 26 and September 29, 2014 |
Katten |
| Feb 15 2023 |
Record Penalty for Alleged Regulation FD Violations and Best Practices Going Forward |
Katten |
| Sep 7 2022 |
FINRA Proposes Trade Reporting Requirements for OTC Options Transactions |
Katten |
| Nov 7 2015 |
SEC Adopts Final Crowdfunding Rules, Completing JOBS Act Rulemaking |
Katten |
| May 6 2016 |
Consumer Financial Protection Bureau To Outlaw Mandatory Pre-Dispute Arbitration Provisions |
Katten |
| Feb 1 2014 |
FinCEN Issues Money Services Businesses (MSB) Guidance for Bitcoin Miners, Investors and Software Developers |
Katten |
| Apr 20 2015 |
Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members |
Katten |
| Oct 4 2014 |
Institutional Shareholder Services (ISS) Publishes Results of Annual Global Voting Policy Survey |
Katten |
| Nov 10 2015 |
Highlights of Final Prudential Regulator Margin Rules for Non-Cleared Swaps |
Katten |
| Nov 21 2016 |
2016 Year-End Estate Planning Advisory |
Katten |
| Jun 21 2019 |
NFA Issues Notice of Annual Surcharge to Certain Member Firms |
Katten |
| Feb 9 2020 |
CFTC’s Technology Advisory Committee to Meet on February 26 |
Katten |
| Aug 17 2023 |
Federal Reserve Warns Against Potential Risks Posed by Quantum Computers and AI |
Katten |
| Oct 16 2020 |
CFTC Adopts New Position Limits Requirements |
Katten |
| Nov 10 2017 |
CFTC’s Division of Clearing and Risk Provides No-Action Relief to Certain Foreign Financial Institutions From Swap Clearing Requirements |
Katten |
