| Aug 19 2016 |
Financial Industry Regulatory Authority Files Proposed Amendment to FINRA Rule 2232 |
Katten |
| Jul 24 2020 |
OCC Publishes Proposed Rule Regarding “True Lender” |
Katten |
| Dec 22 2012 |
CFTC Approves Final Rule Requiring Recording of Oral Communications |
Katten |
| Nov 1 2019 |
CFTC’s Global Markets Advisory Committee Seeking Nominations for New Subcommittee |
Katten |
| Feb 6 2015 |
Regulators Release Guidance on Private Student Loans With Graduated Repayment Terms at Origination |
Katten |
| Jul 29 2020 |
Initial Margin Guidance for US Swap End Users |
Katten |
| Aug 26 2016 |
NFA Issues Notice Regarding the Designation of Executive Representatives for Electronic Voting Purposes |
Katten |
| May 16 2024 |
Labor Department's Final Rule on FLSA Salary Threshold Increases Explained |
Katten |
| Sep 24 2018 |
Bridging the Week by Gary DeWaal: September 17 - 21 and September 24, 2018 (Spoofing; Cryptocurrency Trading Platforms; Post-Trade Allocations) |
Katten |
| Jan 11 2013 |
Institutional Shareholder Services "ISS" Publishes Updated FAQs for its Proxy Voting Policies |
Katten |
| Oct 7 2013 |
Commodity Futures Trading Commission (CFTC) Staff Responds to FAQs Regarding Commodity Options |
Katten |
| Nov 8 2019 |
CFTC Approves Three Foreign Board of Trade Applications |
Katten |
| Feb 17 2015 |
CFTC Extends Relief From Certain Ownership and Control Reporting (OCR) Requirements |
Katten |
| Jan 11 2021 |
Protecting a Lessor Against the Recharacterization in Bankruptcy of a Full Payout Aircraft Lease as a Disguised Security Agreement |
Katten |
| Feb 26 2016 |
FINRA Requests Information Regarding Firm Culture and Values |
Katten |
| Sep 2 2016 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 |
Katten |
| Sep 4 2015 |
NFA Announces Effective Date of Enhanced Retail Forex Requirements |
Katten |
| Sep 6 2016 |
New FDA Regulations for OTC Antibacterial Hand and Body Washes |
Katten |
| Feb 15 2018 |
Proposed White House Budget Eliminates CSB, Slashes EPA, Restructures NIOSH |
Katten |
| Dec 20 2022 |
IRS Issues Guidance on "Qualified Manufacturer" Requirements for New Electric Vehicle Tax Credits |
Katten |
| Sep 11 2015 |
NYSE Proposes Rule To Expand Pre-market Notice Period Prior To Disseminating Material News |
Katten |
| Jan 26 2013 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on "Futurization" of Swaps |
Katten |
| Oct 26 2013 |
Commodity Futures Trading Commission (CFTC) Extends Relief from De Minimis Exception to Certain Non-US Affiliates |
Katten |
| Jul 8 2014 |
Food and Drug Administration (FDA) Issues Two Additional Draft Guidance Documents on Social Media |
Katten |
| Apr 19 2019 |
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination |
Katten |
| Oct 15 2018 |
Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets) |
Katten |
| Mar 2 2015 |
Bridging the Week: CCP Report Cards; HFTs; Wash Trades; CFTC Lawsuit Against Attorney; Insider Trading; Conflicts [VIDEO] |
Katten |
| Aug 18 2020 |
A Promise Made, a Promise Kept: CFTC Adopts Final Cross-Border Swaps Rules Largely as Proposed |
Katten |
| Feb 27 2017 |
EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules |
Katten |
| Nov 3 2013 |
Commodity Futures Trading Commission (CFTC) Seeks Comments on TW SEF Available-to-Trade Certification |
Katten |
| Apr 10 2020 |
FINRA Issues Statement on SEC Risk Alerts Regarding Reg BI and Form CRS |
Katten |
| Feb 9 2013 |
Institutional Shareholder Services ("ISS") Announces New Governance QuickScore Will Replace Governance Risk Indicators (GRId) to Identify Risks Within a Company |
Katten |
| Nov 9 2013 |
Foreign Listed Stock Index - Futures and Options Approvals |
Katten |
| Sep 25 2015 |
CFTC Grants DCO Registration to Nodal Clear |
Katten |
| Mar 2 2017 |
President Trump Issues Executive Order Directing EPA to Review the WOTUS Rule |
Katten |
