| Jun 21 2023 |
Four Key Considerations Since SEC Amended Form PF |
Katten |
| Aug 14 2020 |
Use of Residual-Value Insurance to Support Debt Repayment in Leveraged Aircraft Leases |
Katten |
| Apr 10 2020 |
SEC Chairman and Division of Corporation Finance Director Issue Statement Further Addressing COVID-19 Related Disclosures |
Katten |
| Mar 11 2016 |
What Does the US Supreme Court Ruling Mean for Local Affordable Housing Laws? |
Katten |
| Aug 21 2020 |
CFTC Approves Amendments to Margin Requirements for SDs and MSPs |
Katten |
| Oct 26 2013 |
Swiss National and Former Energy Executive Criminally Charged Under Foreign Corrupt Practices Act (FCPA) |
Katten |
| Dec 6 2019 |
NFA Proposes Amendments to Several NFA Rules and Interpretative Notices to Apply to Cleared Swaps |
Katten |
| Mar 6 2015 |
New Volcker Guidance Helps Non-US Banks |
Katten |
| Feb 25 2013 |
Southern District of New York (SDNY) Finds Lack of Personal Jurisdiction in Foreign Corrupt Practices Act Claim |
Katten |
| Mar 18 2016 |
CFTC Approves Final Rule Eliminating Certain Reporting and Recordkeeping Requirements for Trade Option End-Users |
Katten |
| Dec 14 2023 |
FINRA Acts to Update its Advertising Rule |
Katten |
| Nov 2 2013 |
Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) Propose Rule to Strengthen Liquidity Risk Management |
Katten |
| Mar 4 2013 |
Financial Crimes Enforcement Network (FinCEN) Issues Advisory to Financial Institutions: Update on Tax Refund Fraud and Related Identity Theft |
Katten |
| Mar 10 2017 |
Acting SEC Chairman Piwowar Makes Remarks at the 2017 SEC Speaks Conference, Including With Respect to “Accredited Investor” Definition |
Katten |
| May 3 2019 |
CFTC Chair Proposes Relief for Phase 5 Initial Margin Implementation |
Katten |
| Oct 5 2015 |
CFTC and Korean Regulators Sign MOU Regarding Cross-Border Clearing Organizations |
Katten |
| Jul 18 2014 |
Commodity Futures Trading Commission (CFTC) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal |
Katten |
| Feb 5 2021 |
2021 Report on FINRA’s Examination and Risk Monitoring Program |
Katten |
| Dec 22 2023 |
The SEC's Treasury Clearing Mandate |
Katten |
| Mar 11 2013 |
Frequently Asked Questions About Legal Entity Identifiers |
Katten |
| Mar 22 2015 |
CFE Amends Rules on ECRPs and Block Trades |
Katten |
| Nov 4 2018 |
CFTC’s Office of the Chief Economist Issues Report on Initial Margin Phase 5 |
Katten |
| Mar 14 2013 |
IRS Releases Audit Memorandum on Another Historic Tax Credits "HTC" Transaction |
Katten |
| Mar 17 2013 |
SEC (Securities and Exchange Commission) Approves Off-Balance Sheet Supplemental Schedule |
Katten |
| Mar 26 2015 |
FINRA Seeks Comment on Proposal Requiring Registration of Associated Persons Who Develop Algorithmic Trading Strategies |
Katten |
| Oct 16 2015 |
OCC Rescinds Capital Guidance |
Katten |
| May 20 2019 |
Bridging the Week by Gary DeWaal: May 13 –17 and May 20, 2019 (Bump Goes the Futures Orders; JAC Warns FCMs) |
Katten |
| Aug 3 2022 |
Futures Audit Trails Requirements: A Compliance Minefield? |
Katten |
| Sep 16 2020 |
Public Company Acquired Company Financial Statement Rules |
Katten |
| Feb 19 2021 |
Structuring a PDP Loan to Protect the Lender From an Airline Bankruptcy |
Katten |
| Oct 23 2015 |
Financial Regulators Adopt Final Margin Rules for Non-Cleared Swaps |
Katten |
| Nov 16 2018 |
SEC Approves New Supplement to Options Disclosure Document |
Katten |
| Apr 24 2020 |
SEC Provides for Phased CAT Broker-Dealer Reporting Timelines |
Katten |
| Sep 18 2020 |
FINRA Issues Guidance on Public Offerings |
Katten |
| Mar 30 2013 |
Departments of Health and Human Services, Labor and Treasury Release Waiting Period Regulations for Group Health Plans |
Katten |
