| Jul 15 2016 |
SEC Adopts Changes to Security-Based Swap Reporting Rules |
Katten |
| Jul 14 2017 |
Proposed Rule Change Relating To Revisions To the Definition of Non-public Arbitrator |
Katten |
| Jul 22 2016 |
FINRA Proposes To Require Members To Report Transactions in US Treasury Securities to TRACE |
Katten |
| Mar 4 2019 |
Bridging the Week by Gary DeWaal: February 25 – March 1 and March 4, 2019 (Appeal Not Appealing; Purported Fraudster Indicted for Fraud) |
Katten |
| Jan 22 2016 |
Commodity Futures Trading Commission Launches Whistleblower Program’s Website |
Katten |
| Aug 10 2018 |
CFTC Proposes Rules to Simplify Process for Foreign Clearing Organizations to Obtain DCO Registration Exemptions |
Katten |
| May 9 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 11892 |
Katten |
| Jan 18 2018 |
Issues for Compensation Committees to Consider When Grappling With Changes to 162(m) and the Death of the Performance-Based Compensation Exemption |
Katten |
| Nov 19 2012 |
Court Finds Defendants Jointly and Severally Liable for Disgorgement and Prejudgment Interest Award in Ponzi Scheme Case |
Katten |
| Jul 25 2015 |
CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers |
Katten |
| Mar 11 2019 |
Bridging the Week by Gary DeWaal: March 4 – 8 and March 11, 2019 (Bribing Is Wrong; Smarter Swaps APs Are Better; Commercially Reasonable Prices for EFRPs Are Best) |
Katten |
| Jan 29 2016 |
Crowdfunding Portals Can Now Register with the SEC |
Katten |
| Jan 9 2015 |
CFTC Staff Issues No-Action Relief Extending the Deadline for Certain CCO Annual Reports |
Katten |
| Oct 4 2019 |
FINRA Amends Rules 2210 and 2241 to Conform to FAIR Act |
Katten |
| Jan 10 2015 |
CFTC Staff Grants No-Action Relief to Entities Operating Insurance-Linked Securities Issuers |
Katten |
| Aug 24 2018 |
CFTC Amendments, Orders of Registration and Proposals for Officers |
Katten |
| Mar 26 2020 |
COVID-19 Considerations for Employers |
Katten |
| Mar 15 2019 |
CFTC and Monetary Authority of Singapore Issue Joint Statement Regarding the Mutual Recognition of Certain Derivatives Trading Venues in the United States and Singapore |
Katten |
| Jul 10 2020 |
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirement |
Katten |
| Aug 8 2017 |
New Partnership Audit Regime Set to Take Effect in 2018, Proactive Planning Recommended |
Katten |
| May 30 2014 |
Commodity Futures Trading Commission (CFTC) Seeks Additional Comments on Position Limits for Physical Commodity Derivatives |
Katten |
| Sep 7 2018 |
NFA Releases Notice Regarding Swap Valuation Dispute Filing Process |
Katten |
| Aug 31 2013 |
SEC Accuses Investment Adviser of Misrepresenting Its Algorithmic Trading Capacity |
Katten |
| Jan 24 2015 |
OCC Issues New Comptroller’s Handbook Sections Relating to Securities Compliance, Litigation and Conflicts of Interest |
Katten |
| Sep 4 2013 |
Estate Planning Opportunities Arising from Recent Revenue Ruling Concerning Marriages of Same-Sex Couples |
Katten |
| Oct 25 2019 |
FATF Updates List of AML/CFT Deficient Jurisdictions |
Katten |
| Jul 17 2020 |
SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules |
Katten |
| Feb 13 2016 |
UK FCA Publishes Policy Statement on the Implementation of UCITS V |
Katten |
| Jun 9 2014 |
Commodity Futures Trading Commission (CFTC) Extends No-Action Relief for Certain Transaction-Level Requirements for Non-US Swap Dealers |
Katten |
| Dec 27 2012 |
Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs |
Katten |
| Aug 22 2016 |
Bridging the Week: August 15 to 19 and August 22, 2016 -Whistleblowing; President Banned; Bad Reports; CCP Risk; De Minimis [VIDEO] |
Katten |
| Jan 8 2021 |
SEC Proposes Rule 144 Tacking Amendments |
Katten |
| Jan 6 2013 |
Commodity Futures Trading Commission "CFTC" Issues Final Order on Cross-Border Swaps |
Katten |
| Feb 17 2017 |
SEC Approves Pricing Disclosures for Fixed Income Securities |
Katten |
| Feb 26 2016 |
SEC Adopts Additional Rule for Cross-Border Security-Based Swaps |
Katten |
