| Dec 11 2015 |
CFTC Extends Continued No-Action Relief From Certain Recordkeeping Requirements |
Katten |
| Jun 7 2017 |
Compliance With ERISA Fiduciary Advice Rule for Private Investment Fund Managers and Sponsors and Managed Account Advisers: Beginning June 9, 2017 |
Katten |
| Apr 16 2021 |
CFTC Staff Issues Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19 |
Katten |
| Nov 10 2014 |
NFA (National Futures Association) Changes Public Display of FCM Financial Information on BASIC |
Katten |
| Jun 2 2013 |
SEC Approves Financial Industry Regulatory Authority (FINRA) Rule Change That Requires Reporting Over-the-Counter (OTC) Equity Transactions Within 10 Seconds |
Katten |
| Jun 12 2020 |
OCC Promulgates Final Rule on “Valid When Made” |
Katten |
| Mar 28 2014 |
Commodity Futures Trading Commission (CFTC) Extends Expiration of Multilateral Trading Facilities (MTF) Relief |
Katten |
| Dec 18 2015 |
CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs |
Katten |
| Mar 14 2024 |
Back to the Drawing-Board: The CFTC Re-Proposes Rules to Codify Letter 19-17 |
Katten |
| Jun 9 2013 |
SEC Money Market Reform |
Katten |
| Nov 14 2014 |
Commodity Futures Trading Commission (CFTC) Issues Further Relief for Package Transactions |
Katten |
| Apr 23 2021 |
Gary Gensler Names Initial Senior Staff Members |
Katten |
| Dec 11 2020 |
More USD LIBOR Transition Developments |
Katten |
| Nov 22 2014 |
FinCEN Updates List of Jurisdictions with AML/CFT Deficiencies |
Katten |
| Apr 8 2014 |
Supreme Court Inks Uniform Standing Test for Lanham Act False Advertising Claims |
Katten |
| Apr 30 2021 |
Upcoming Effective Date of FINRA Rules Regarding Brokers With a Significant History of Misconduct |
Katten |
| Jun 23 2017 |
CFTC Unanimously Approves Revisions to Delegated Authorities and Technical Amendments |
Katten |
| Sep 6 2019 |
NFA Adopts Clarifying Changes to Rules and Interpretive Notices |
Katten |
| Apr 13 2014 |
Federal Reserve Extends Compliance Deadline for Collateralized Loan Obligations (CLOs) |
Katten |
| May 5 2022 |
SEC's Climate-Related Comment Letters – Avoiding Potential Pitfalls |
Katten |
| Dec 5 2014 |
Comptroller of the Currency’s Curry Advocates Regulatory Reduction for Smaller Banks and Thrifts |
Katten |
| Jul 11 2016 |
SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 |
Katten |
| Jul 20 2018 |
SEC Amends the Definition of “Smaller Reporting Company” |
Katten |
| Jul 12 2015 |
FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule |
Katten |
| Apr 25 2014 |
SEC (Securities and Exchange Commission) Proposes Recordkeeping and Reporting Rules for Security-based Swaps |
Katten |
| Jan 15 2016 |
2016 Examination Priorities Announced By SEC |
Katten |
| Jul 16 2013 |
Federal Trade Commission (FTC) Formalizes Withdrawal and Refiling Process |
Katten |
| Jan 19 2016 |
Bridging the Week: January 11 – 15 and 19, 2016 (Part 30; Short Sales; Attempted Manipulation; Another Exam; More Capital, Billions) |
Katten |
| Jan 13 2017 |
NFA Announces Effective Date for Forex Transactions Requirements |
Katten |
| Jul 17 2013 |
Key Topics to Follow During Internet Corporation for Assigned Names and Numbers (ICANN) 47 |
Katten |
| May 2 2014 |
Commodities Futures Trading Commission (CFTC) Provides Relief Regarding Package Transactions |
Katten |
| Aug 4 2018 |
FINRA Seeks Comment on Proposed Amendments to the Membership Application Program Rules & Fintech Innovation in Broker-Dealer Industry |
Katten |
| Sep 27 2019 |
New SEC Rule Expands “Test-the-Waters” to All Issuers |
Katten |
| Jan 22 2016 |
SEC Adopts Interim Final Rules as Mandated by the FAST Act |
Katten |
| Jul 25 2016 |
Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] |
Katten |
