| Aug 24 2014 |
Commodity Futures Trading Commission (CFTC) Provides Limited Relief to Swap Execution Facilities (SEFs) from Certain Confirmation and Recordkeeping Requirements |
Katten |
| Mar 9 2013 |
Supreme Court Denies Securities and Exchange Commission (SEC) Extra Time to Bring Enforcement Actions for Civil Penalties |
Katten |
| Apr 8 2016 |
FDIC Rescinds De Novo Time Period Extension |
Katten |
| Aug 18 2022 |
Federal Reserve's New Master Account Guidelines Provide Transparent Path For Crypto Industry |
Katten |
| Mar 26 2018 |
Bridging the Week by Gary DeWaal: March 19 to 23 and March 26, 2018 (Howey; ICOs; Virtual Currencies; Actual Delivery) |
Katten |
| Oct 24 2016 |
Bridging the Week: October 17 to 21 and October 24, 2016 (Floor Trader Registration; Source Code; Soliciting From Abroad; Liability May Not Equal Fines) [VIDEO] |
Katten |
| Mar 31 2017 |
FINRA Updates Web API Specifications for the TRACE Securitized Products |
Katten |
| Apr 3 2015 |
SEC Brings First Action Against Company for Potentially Stifling Whisteleblowers |
Katten |
| Sep 5 2014 |
SEC Adopts Regulation AB II: Disclosure and Reporting Requirements for Asset-backed Securities |
Katten |
| Sep 18 2020 |
CFTC Staff Issue Supplemental Advisory and Time-Limited No-Action Relief on Treatment of Separate Accounts by FCMs |
Katten |
| Mar 24 2013 |
Cayman Islands to Enter into a Model 1 Intergovernmental Agreement "IGA" |
Katten |
| Jan 10 2014 |
ArthroCare to Pay $30 Million Fine to Settle Department of Justice (DOJ) Probe |
Katten |
| Apr 29 2020 |
More Than a Refresh but Much Less Than A Substantial Overhaul: The CFTC Proposes Comprehensive Amendments to Its Bankruptcy Rules |
Katten |
| Apr 17 2015 |
Federal Reserve Board Expands Small Bank Holding Company Policy Statement |
Katten |
| Sep 21 2014 |
Financial Industry Regulatory Authority (FINRA) Revises Proposal to Adopt Consolidated FINRA Rule 2231 |
Katten |
| Apr 26 2016 |
Launch of New Generic Top Level Domains .store and .shopping |
Katten |
| Jan 26 2014 |
Commodity Futures Trading Commission (CFTC) Interdivisional Working Group to Review Swap Reporting |
Katten |
| Apr 23 2015 |
Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About? |
Katten |
| Nov 13 2015 |
CFTC Extends Swap Data Reporting Relief to Certain Non-US SDs and MSPs |
Katten |
| Apr 24 2015 |
SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting |
Katten |
| Nov 9 2017 |
House Bill Proposes Major Modifications To Employee Compensation And Benefits-Related Laws; Initial Amendments Provide Limited Relief |
Katten |
| Dec 21 2018 |
ISDA Publishes 2018 Benchmark Supplement Protocol |
Katten |
| Mar 12 2021 |
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption |
Katten |
| Oct 3 2014 |
Commodity Futures Trading Commission (CFTC) Settles Fraudulent Trading Violations with Forex Trader |
Katten |
| Oct 6 2014 |
Market Disruption; When Is Enough Enough; Pay to Play; Money for Mom - Bridging the Week: September 29 to October 3 and 6, 2014 [VIDEO] |
Katten |
| Nov 24 2015 |
Victim of Fraud Sued for Fraud |
Katten |
| May 11 2016 |
Landmark Trade Secrets Law Creates New Federal Civil Cause of Action and Compliance Obligations for All Employers |
Katten |
| May 2 2018 |
Between Bridges by Gary DeWaal – May 2, 2018 (Actual Delivery; Manipulative Device or Contrivance) |
Katten |
| Feb 27 2023 |
SEC 2023 Examination Priorities |
Katten |
| Feb 16 2014 |
Securities and Exchange Commission (SEC) Files Insider Trading Action Despite Unknown Tipper |
Katten |
| May 4 2018 |
SEC Proposes Conduct Standards for Investment Advisers |
Katten |
| Dec 2 2016 |
Changes in Required Minimum Security Deposits for Forex Transactions |
Katten |
| May 10 2018 |
SEC Proposes Fiduciary Rule for Broker-Dealers |
Katten |
| Feb 15 2024 |
Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability |
Katten |
| May 15 2015 |
Revised Interagency Examination Procedures for Consumer Compliance |
Katten |
