| Sep 9 2016 |
CFTC Issues Comparability Determination for Japan Uncleared Swap Margin Rules |
Katten |
| Feb 16 2018 |
FCA Provides Update on EMIR United States Equivalence Decision and Intragroup Exemptions |
Katten |
| Dec 26 2021 |
Securities Regulatory and Enforcement: Four Asset Management Trends |
Katten |
| Feb 5 2013 |
Consumer Financial Protection Bureau (CFPB) Delays Remittance Rule |
Katten |
| Oct 13 2013 |
Financial Industry Regulatory Authority (FINRA) Discusses Suitability Rule Examination Findings |
Katten |
| Jun 27 2014 |
Over the Borderline: Protecting Foreign Marks in the United States |
Katten |
| Sep 19 2016 |
NFA Issues Notice Regarding Jurisdictions With AML/CFT Deficiencies |
Katten |
| Apr 10 2020 |
BCBS and IOSCO Announce another Postponement of Swap Initial Margin |
Katten |
| Apr 26 2019 |
FINRA Releases Report on 2018 Fine Monies |
Katten |
| Jan 3 2023 |
Treasury Releases Guidance on Electric Vehicle Tax Credits |
Katten |
| Feb 17 2013 |
Financial Industry Regulatory Authority (FINRA) Offers Changes to Proposed Rules Governing Markups, Commissions and Fees |
Katten |
| Sep 18 2015 |
SEC Extends Specified Temporary Relief Related to Security-Based Swaps |
Katten |
| Sep 26 2016 |
Supervision; Block Trades; EFRPs; Independence; Tag 50s; Insider Trading - Bridging the Week: September 19 to 23 and September 26, 2016 [VIDEO] |
Katten |
| Jul 12 2014 |
SEC Settles Civil Foreign Corrupt Practices Act (FCPA) Action Against Two Former Oil Services Executives |
Katten |
| Nov 1 2013 |
Financial Industry Regulatory Authority (FINRA) Issues New Investor Alert on Closed-End Funds |
Katten |
| Mar 9 2015 |
Bridging the Week: Compliance Officer Sanctioned; EFRPs Redux; Lax Supervision; LME Reform [VIDEO] |
Katten |
| Jun 27 2023 |
A New Era for Continuation Fund Transactions: ILPA Issues New Guidance |
Katten |
| Sep 30 2016 |
CFTC Expands Clearing Requirement to Include Additional Interest Rate Swaps |
Katten |
| Jun 28 2023 |
Coinbase, Inc. v. Bielski: Interlocutory Appeals on the Question of Arbitrability Automatically Stay District Court Proceedings |
Katten |
| Sep 22 2017 |
SEC Division of Corporation Finance Issues New C&DIs on “Regulation A+” |
Katten |
| Jul 18 2014 |
New York Department of Financial Services Proposes First Comprehensive Regulatory Framework for Virtual Currency Businesses |
Katten |
| Mar 13 2015 |
Study Finds Whistleblowers Increase Penalties of Regulatory Enforcement Actions |
Katten |
| Dec 20 2019 |
CFTC Grants Market Participants LIBOR-Transition Relief |
Katten |
| Oct 2 2015 |
CFTC Extends Relief from Electronic OCR Requirements |
Katten |
| Sep 4 2020 |
CFTC No-Action Letter 20-24: CFTC Provides Relief from the Trade Execution Requirement |
Katten |
| Nov 16 2013 |
Agencies Release Final Revisions to Interagency Q&As Regarding Community Reinvestment |
Katten |
| Jul 25 2014 |
SEC Approves FINRA Rule Limiting Expungement |
Katten |
| Mar 14 2018 |
Are Your Qualified and Nonqualified Employee Benefit Plans in Compliance With the New ERISA Disability Claims Regulations? |
Katten |
| Mar 20 2015 |
Due Date for FATCA Reporting of US Accounts Is Approaching |
Katten |
| Mar 9 2013 |
Supreme Court Denies Securities and Exchange Commission (SEC) Extra Time to Bring Enforcement Actions for Civil Penalties |
Katten |
| Aug 1 2014 |
Smith & Wesson Pays $2 Million to Resolve SEC Charges |
Katten |
| Nov 22 2013 |
SEC Chair Mary Jo White Outlines Potential Changes to “Accredited Investor” Definition |
Katten |
| May 17 2019 |
Joint Audit Committee Releases Two Regulatory Alerts |
Katten |
| Oct 9 2015 |
CFTC’s Market Risk Advisory Committee To Meet on November 2 |
Katten |
| Apr 1 2016 |
FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule |
Katten |
