| Jul 19 2019 |
FINRA Proposes Rule Change Relating to Exemptions from Order Audit Trail System Recording and Reporting Requirements |
Katten |
| Mar 7 2020 |
CFTC Approves Rule Change Relating to Termination of Exemptive Relief for Foreign Brokers |
Katten |
| Nov 6 2020 |
SEC Approves Amendments to Harmonize and Simplify Offering Exemptions |
Katten |
| Dec 7 2016 |
U.S. Supreme Court Alters Standard for Design Patent Damages and Takes Apple's $400 Million Victory Over Samsung Away (At Least for Now) |
Katten |
| May 19 2017 |
CFTC’s Division of Clearing and Risk Extends No-Action Relief for Shanghai Clearing House |
Katten |
| Feb 1 2019 |
Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210 |
Katten |
| Feb 23 2024 |
SEC Significantly Broadens "Dealer" Definition |
Katten |
| Oct 19 2014 |
International Securities Exchange (ISE) Proposes to Amend Rules Regarding Information Barriers Between Customer and Proprietary Businesses |
Katten |
| Jul 29 2019 |
Bridging the Week by Gary DeWaal: July 22 – 26, and July 29, 2019 (Or ≠ And; Actual Delivery = Real Delivery; Gaming Tokens ≠ Securities; Ain’t Broke = Working) |
Katten |
| Feb 29 2024 |
Action Required: Impact of Corporate Transparency Act on Investment Managers |
Katten |
| Mar 9 2014 |
SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments - Securities and Exchange Commission |
Katten |
| May 26 2017 |
CFTC Approves Amendments to Recordkeeping Requirements |
Katten |
| Oct 24 2014 |
CFTC Issues Interpretation Regarding Accounting for Customer Margin Payments Using Automated Clearing House Payment Processing |
Katten |
| May 12 2013 |
Consumer Financial Protection Bureau Releases Final Rule on International Remittance Transfers |
Katten |
| Apr 9 2021 |
FINRA Updated and New Supervision FAQ for Rule 3120 and Rule 3120 Reports |
Katten |
| Nov 1 2014 |
Agencies Request Comment on Proposed Flood Insurance Rule |
Katten |
| Jun 2 2017 |
CFTC Extends No-Action Relief to SEFs and DCMs From Certain Error Correction Regulations |
Katten |
| Nov 20 2020 |
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings |
Katten |
| Mar 22 2023 |
FINRA Proposes Changes to Arbitrator List Selection Process |
Katten |
| Jun 3 2016 |
FINRA Issues Guidance With Respect to Stop Orders and Volatile Market Conditions |
Katten |
| May 18 2013 |
SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps |
Katten |
| Mar 21 2014 |
SEC (Securities and Exchange Commission) Approves New FINRA (Financial Industry Regulatory Authority) Supervision Rules |
Katten |
| Nov 7 2014 |
SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution |
Katten |
| Jun 19 2015 |
SEC Denies Motion to Stay Regulation A+ |
Katten |
| Apr 16 2021 |
SEC Statements Regarding SPACs Address Warrants and Projections |
Katten |
| Jun 10 2016 |
SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information |
Katten |
| Mar 14 2024 |
The 'Effective Spread' of Order Execution Quality Reporting |
Katten |
| Dec 8 2015 |
Questions and Answers Concerning Final Prudential Regulator Margin Rules for Non-Cleared Swaps |
Katten |
| Nov 14 2014 |
Recent Key Bitcoin and Virtual Currency Regulatory and Law Enforcement Developments |
Katten |
| Jun 25 2018 |
Bridging the Week by Gary DeWaal: June 18 - 22 and June 25, 2018 (Cryptocurrencies; Fiat Currencies; Trust; Fraud; Jurisdiction; Administrative Law Judges) |
Katten |
| Dec 4 2020 |
New NFA Interpretation Requires Approval of Swap Marketing Materials |
Katten |
| Jun 12 2020 |
CFTC Extends No-Action Relief to Registrants In Response to COVID-19 Pandemic |
Katten |
| Apr 23 2021 |
CFTC Issues Conditional Relief From Reporting Fully Collateralized Binary Option Data to Swap Data Repositories |
Katten |
| Dec 20 2016 |
Risk Retention in Commercial Mortgage-Backed Securities: Look Back and Look Forward |
Katten |
| Apr 7 2014 |
Agencies Issue Denial of Service Guidance and Guidance on ATMs |
Katten |
