| Apr 13 2014 |
Federal Reserve Extends Compliance Deadline for Collateralized Loan Obligations (CLOs) |
Katten |
| Aug 30 2019 |
FINRA Issues Guidance on Member Firms’ Supervisory Obligations When Participating in Investment-Related Activities With Municipal Clients |
Katten |
| Jun 21 2017 |
FINRA Issues Interpretive Letter Regarding Related Performance Information in Institutional Communications |
Katten |
| Nov 19 2021 |
Update on OSHA's Vaccination Requirement for Employers With 100+ Employees |
Katten |
| Sep 7 2019 |
ISDA Publishes Narrowly Tailored Credit Event (NTCE) Protocol |
Katten |
| Jun 24 2016 |
SEC Announces Self-Reporting Initiative for Broker-Dealers Who Have Failed To Comply With Its Customer Protection Rule |
Katten |
| Oct 10 2023 |
Inside, Outside, USA: Key Developments on the Boundaries of Injunctive Relief in Trademark Disputes |
Katten |
| Jul 12 2018 |
Are You Ready for the New Partnership Audit Regime? |
Katten |
| Apr 25 2014 |
SEC (Securities and Exchange Commission) Proposes Recordkeeping and Reporting Rules for Security-based Swaps |
Katten |
| Sep 13 2019 |
SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS |
Katten |
| Jul 16 2013 |
Federal Trade Commission (FTC) Formalizes Withdrawal and Refiling Process |
Katten |
| Jul 17 2013 |
Key Topics to Follow During Internet Corporation for Assigned Names and Numbers (ICANN) 47 |
Katten |
| Nov 28 2014 |
2014 Year-End Estate Planning Advisory |
Katten |
| May 2 2014 |
Commodities Futures Trading Commission (CFTC) Provides Relief Regarding Package Transactions |
Katten |
| Jul 23 2018 |
Bridging the Weeks by Gary DeWaal: Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction |
Katten |
| Sep 20 2019 |
FDIC Proposes Amendments to Prudential Regulator Swap Margin Rules |
Katten |
| Jan 8 2016 |
CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals |
Katten |
| Jan 8 2016 |
SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act |
Katten |
| Jan 5 2018 |
Filing Requirements for Swap Valuation Dispute Notices and Monthly Swap Dealer Risk Data Reporting Requirements are Effective January 2018 |
Katten |
| May 10 2014 |
FDIC Releases Resource Guide to Help Institutions Evaluate Opportunities with Community Development Financial Institutions |
Katten |
| Dec 11 2014 |
ICANN Gears Up for Second Round of gTLD Applications Even as First Round Still Underway |
Katten |
| Jan 19 2016 |
SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries |
Katten |
| Dec 19 2014 |
CFTC Extends Relief to Four Foreign Clearing Organizations |
Katten |
| Jan 25 2017 |
EPA Issues Notice Delaying Implementation of Thirty Regulations |
Katten |
| Jan 22 2016 |
"Implementation Day" Brings Openings for Commercial Aircraft Sales With Iran |
Katten |
| Aug 18 2013 |
Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations (SIDCO) |
Katten |
| Aug 23 2013 |
Office of the Comptroller of the Currency (OCC) Revises Guidance on Commercial Real Estate Lending |
Katten |
| Jul 10 2020 |
FINRA Updates on July 10, 2020 |
Katten |
| Dec 13 2022 |
New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules |
Katten |
| Jan 29 2016 |
No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically |
Katten |
| Jan 12 2015 |
FINRA Exams; China Futures Exchanges Opening Up; Disruptive Trading Redux; Charlie Hebdo- Bridging the Week: January 5 to 9 and 12, 2015 [VIDEO] |
Katten |
| Feb 1 2016 |
Bridging the Week: January 25 – 29 and February 1, 2016 (Money Market Funds; Independent IBs; FERC Jurisdiction; Pre-Execution Communications) |
Katten |
| Aug 31 2018 |
Statement on Status of the Consolidated Audit Trail |
Katten |
| Sep 15 2013 |
Commodity Futures Trading Commission (CFTC) Issues Concept Release on Automated Trading |
Katten |
| Nov 1 2019 |
FINRA Issues 2019 Report on Examination Findings and Observations |
Katten |
