| Mar 10 2023 |
SEC Clarifies 'Pay versus Performance' Disclosure Rules |
Katten |
| Jul 19 2019 |
FINRA Publishes Guidance on Public Offering Review Process and Private Placement Filings |
Katten |
| Oct 20 2014 |
Bridging the Week: October 13 to 17 and 20, 2014 (Marking the Close; CPO Delegation; Clearinghouse Recovery; To Tweet or Not to Tweet) |
Katten |
| Oct 12 2022 |
CFTC Brings Enforcement Action against Digital Exchange and Natural Person Controller Suggesting Native Cryptoasset is a Commodity and Not a Security |
Katten |
| May 25 2018 |
EPA Revises Policy on "Common Control" in Source Determinations Under the Federal Clean Air Act |
Katten |
| Jun 5 2015 |
SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers |
Katten |
| May 5 2013 |
Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities |
Katten |
| Oct 26 2014 |
SEC Denies Two Proposed Applications for Non-Transparent Active ETFs |
Katten |
| Apr 9 2021 |
FINRA Proposes Extension of Temporary COVID-19 Related Amendments |
Katten |
| Jul 26 2019 |
CFTC Extends Public Comment Period for Proposed Amendment to Swap Data Reporting Regulations |
Katten |
| Jun 6 2016 |
CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits |
Katten |
| Jun 4 2018 |
Bridging the Weeks by Gary DeWaal: May 21 to June 1 and June 4, 2018 (Self-Certifications; Virtual Currencies; Summary Suspensions; Spoofing) [VIDEO] |
Katten |
| Oct 31 2014 |
Six Federal Agencies Jointly Approve Final Risk Retention Rule |
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 |
| Feb 15 2019 |
CFTC: Exam Policies and Rule Amendment ICE Futures Filing |
Katten |
| Nov 7 2014 |
FINRA Adds a Category of Persons to Serve on Disciplinary Hearings |
Katten |
| Mar 11 2024 |
The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A Security |
Katten |
| Dec 11 2015 |
FAST Act Legislation and Impact on Securities Law |
Katten |
| Jun 12 2020 |
OCC Promulgates Final Rule on “Valid When Made” |
Katten |
| Jun 1 2013 |
Securities and Exchange Commission (SEC) Division of Corporation Finance Issues 13 New and Revised Compliance and Disclosure Interpretations (C&DIs) |
Katten |
| Jun 17 2016 |
CFTC Seeks Comment With Respect to ICE Futures US Rule Amendment Certification |
Katten |
| Nov 19 2014 |
Comments Sought by December 19th on the FDA's Proposed Criteria for "First Generic" Applications |
Katten |
| Dec 18 2015 |
OCC Issues Recovery Proposal for Institutions With Assets of $50 Billion or More |
Katten |
| Dec 11 2020 |
More USD LIBOR Transition Developments |
Katten |
| Apr 29 2021 |
Businesses Must Prepare For Expansive AML Reporting of Beneficial Ownership Interests |
Katten |
| Jul 6 2015 |
Bridging the Week: June 29 to July 3 and 6, 2015 (Diva of Distressed; Uncleared Margin; Reg MAR Breakdown; China; FINRA Defamation) |
Katten |
| Dec 4 2014 |
Seven Key Takeaways from ICANN 51 in Los Angeles |
Katten |
| Dec 18 2020 |
SEC Adopts Final Resource Extraction Disclosure Rules; Duplicative Regulation Clearing Agency Rule |
Katten |
| Apr 11 2014 |
CFTC (Commodity Futures and Trading Commission) Reissues and Clarifies Relief Regarding Swaps Trading on MTFs (Multilateral Trading Facilities) |
Katten |
| Jun 30 2013 |
Federal Reserve to Vote on Final Capital Rules |
Katten |
| Sep 6 2019 |
FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian |
Katten |
| Apr 18 2014 |
SEC (Securities and Exchange Commission) Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access |
Katten |
| Jan 8 2016 |
CFTC Amends Recordkeeping Rules |
Katten |
| Jun 26 2020 |
FDIC Publishes Final Rule Regarding the “Valid When Made” Doctrine |
Katten |
| Jan 9 2016 |
PCAOB Adopts New Rules Requiring Disclosure of Participants in Audit |
Katten |
