| Nov 2 2013 |
Commodity Futures Trading Commission (CFTC) Adopts Enhanced Customer Protection Rules |
Katten |
| Dec 6 2019 |
CFTC Issues Guidance on Chief Compliance Officer Annual Report Preparation |
Katten |
| Feb 26 2018 |
Bridging the Week, Featuring Topics on Whistleblowers; AML Staffing; Unlicensed Crypto Exchange; FCA-CFTC FinTech Cooperation |
Katten |
| Feb 25 2013 |
Department of Labor (DOL) Issues Guidance for Employee Retirement Income Security Act of 1974 (ERISA) Plans to Engage in Cleared Swaps |
Katten |
| Oct 3 2016 |
Bridging the Week: Futures Insider Trading, Artificial Prices, Theft by Convention, Whistleblowing [VIDEO] |
Katten |
| Jul 18 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Adopt Rules on Quotation Requirements for Over-the-Counter Equity Securities |
Katten |
| Mar 8 2017 |
Finally! FDA Issues Draft Guidance on Interchangeable Biosimilars |
Katten |
| Dec 13 2019 |
CFTC to Hold an Open Commission Meeting on December 18 |
Katten |
| Oct 2 2015 |
Banking Agencies Announce EGRPRA Meeting |
Katten |
| Mar 10 2017 |
SEC Adopts Rule Requiring Hyperlinks to Exhibits Incorporated by Reference in SEC Filings |
Katten |
| Nov 15 2013 |
SEC Division of Corporation Finance Issues 11 New C&DIs (Compliance and Disclosure Interpretations) |
Katten |
| Mar 10 2017 |
SEC Proposes Amendments to Rule 15c2-12 |
Katten |
| Jan 26 2022 |
Latest Retailer Tech Trends Go Beyond Cookies to Include The Fast-Growing Metaverse |
Katten |
| Aug 1 2014 |
Amendments to FINRA Rule 2210 Regarding Communications With the Public |
Katten |
| Mar 7 2018 |
Recent Legislation Limits Settlement Payment Tax Deductions |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations |
Katten |
| Nov 27 2013 |
Bitcoin: Current US Regulatory Developments |
Katten |
| Oct 14 2016 |
CFTC Sets Phase-In De Minimis Amount Termination Date |
Katten |
| Sep 13 2020 |
CFTC Issues Guidance on Compliance Program Evaluations in Connection With Enforcement Matters |
Katten |
| Aug 8 2014 |
SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley |
Katten |
| Nov 6 2018 |
The FAA Reauthorization Act of 2018 is Enacted Into Law |
Katten |
| Mar 28 2015 |
SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking |
Katten |
| Oct 4 2017 |
Bridging the Week: September 25 to 29 and October 2, 2017 (Failure to Supervise Redux; Where Are the Digital Coins?; CFTC’s New Enforcement Math) |
Katten |
| Dec 8 2013 |
Trade Associations File Lawsuit Over CFTC’s (Commodity Futures Trading Commission's) Cross-Border Guidance |
Katten |
| Oct 21 2016 |
CFTC Exempts Certain Southwest Power Pool Transactions |
Katten |
| Mar 16 2018 |
CFTC Seeks Market Risk Advisory Committee Membership Nominations and Public Comment on Committee Priorities |
Katten |
| Mar 23 2013 |
SEC Publishes Guidance on Filing Requirements for Interactive Content |
Katten |
| Aug 1 2022 |
Futures Intermediaries: Pre-Hedge Block Trades At Your Own Risk |
Katten |
| Feb 11 2021 |
Game On: Are New Opportunities Opening Up for Brands to Use Student Athletes’ Name, Image and Likeness Rights? |
Katten |
| Feb 12 2021 |
CFTC Announces Market Risk Advisory Committee Meeting February 23 |
Katten |
| Nov 18 2018 |
FSB Publishes Final Version of Cyber Lexicon |
Katten |
| Mar 29 2013 |
Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information |
Katten |
| Apr 15 2016 |
SEC Publishes Concept Release Regarding Business and Financial Disclosure |
Katten |
| Feb 16 2021 |
Top Ten Legal Considerations for Use and/or Development of Artificial Intelligence in Health Care |
Katten |
| Dec 22 2013 |
Securities and Exchange Commission (SEC) Proposes Rules for “Regulation A+” Offerings |
Katten |
