| Jun 9 2017 |
FINRA Issues Notice Regarding Disruptive Quoting and Trading Activity Rule Changes |
Katten |
| Apr 30 2021 |
Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement |
Katten |
| Nov 7 2014 |
CFTC Proposes to Revise Residual Interest Deadline for FCMs |
Katten |
| Mar 14 2024 |
The 'Effective Spread' of Order Execution Quality Reporting |
Katten |
| Mar 23 2020 |
Bridging the Week by Gary DeWaal: March 16 - 20 and March 23, 2020 (COVID-19) |
Katten |
| Jun 11 2020 |
Structuring Acquisitive Transactions in Difficult Times |
Katten |
| Oct 10 2023 |
SEC Adopts Amendments to 'Names Rule' Impacting Regulated Investment Funds |
Katten |
| Jun 22 2015 |
Bridging the Week: June 15 to 19 and 22, 2015 (Another CCO Sued; Atypical Price Activity; Unauthorized Swaps; Illegal Swaps; Manipulation) |
Katten |
| Dec 17 2016 |
CFTC Grants No-Action Relief From Certain Swap Clearing Requirements for Swaps With Eligible Affiliate Counterparties in Australia or Mexico |
Katten |
| Dec 19 2016 |
EPA Proposes FIP for Texas Regional Haze Plan |
Katten |
| Dec 7 2020 |
SEC Adopts Amendments to MD&A and Other Financial Disclosures |
Katten |
| Aug 30 2019 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2020 |
Katten |
| Apr 7 2014 |
Agencies Issue Denial of Service Guidance and Guidance on ATMs |
Katten |
| Jan 4 2016 |
FTC Issues Much-Anticipated Guidance Regarding "Native" Advertising |
Katten |
| Dec 11 2020 |
NFA Issues Notice to Members Regarding Compliance Date Swaps Proficiency Requirements |
Katten |
| Jun 23 2013 |
Chicago Mercantile Exchange (CME) Group Introduces Self-Match Prevention |
Katten |
| Jan 10 2016 |
Notice of Filing of Proposed Rule Change To Adopt Capital Acquisition Broker Rules |
Katten |
| Jun 19 2020 |
SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS |
Katten |
| Sep 13 2019 |
FINRA Issues Call for Candidates in Upcoming Small Firm Advisory Committee Election |
Katten |
| Apr 16 2014 |
Foreign Listed Stock Index Futures and Options Approval Chart April 16, 2014 |
Katten |
| Dec 27 2017 |
A review of the SEC Participating Affiliate No-Action Letters’ relief from Investment Advisers Act of 1940 registration for foreign investment advisers |
Katten |
| Oct 24 2023 |
Significant Changes Proposed to CFTC Rule 4.7 'Registration Lite' |
Katten |
| May 20 2021 |
Intellectual Property: Top 5 Tips for Brand Protection |
Katten |
| Oct 24 2023 |
FinCEN Announces Extension to CTA Reporting Deadlines |
Katten |
| Jan 9 2017 |
Bridging the Weeks: Dec 19 - Jan 6, and Jan 9, 2017 (Jon Corzine; Infiltrating E-Mails; ATS Gone Bad; Whistleblower Infractions) |
Katten |
| Sep 20 2019 |
SEC Issues Security-Based Swap Recordkeeping and Reporting Rules |
Katten |
| Jul 15 2016 |
New Proposed SEC Rules for the Disclosure of Order Handling Information |
Katten |
| Apr 27 2014 |
Securities and Exchange Commission (SEC) Division of Corporation Finance Issues New Compliance and Disclosure Interpretations (C&DIs) Relating to Social Media Use |
Katten |
| Jul 18 2016 |
Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions |
Katten |
| Jun 26 2020 |
SEC Antitrust Memo; Chairman Speaks on Equity Market Structure; FINRA CAB Suitability |
Katten |
| Jul 16 2013 |
Federal Reserve, Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) Propose Higher Capital Requirements for Largest Banks |
Katten |
| Jul 14 2017 |
SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements |
Katten |
| Dec 22 2014 |
MiFID II, MiFIR, Block Trade Washes, AlphaMetrix, Charges for Cash, Bitcoin Options Exchange, Trading System Failures - Bridging the Week: December 15 to 19 and 22, 2014 |
Katten |
| Jul 17 2015 |
SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme |
Katten |
| Aug 10 2018 |
SEC Division of Corporation Finance Issues C&DIs Regarding Notices of Exempt Solicitation |
Katten |
