| Mar 26 2021 |
FINRA Updates - Corporate & Financial Weekly Digest, Week of March 26, 2021 |
Katten |
| Oct 17 2016 |
Bridging the Week: October 10 to 14 and October 17, 2016 (Coming to the US; Cross-Border; Liquidity Management; Insider Trading Supervision) |
Katten |
| Mar 24 2017 |
FINRA Seeks Comment on Engagement Programs |
Katten |
| Dec 20 2013 |
Federal Deposit Insurance Corporation (FDIC) Issues Latest Supervisory Insights Journal (Winter Edition) |
Katten |
| Apr 1 2013 |
FINRA Proposed Rule Change to Extend Temporary Limit on Application of FINRA Rules to Security-Based Swaps |
Katten |
| Sep 7 2014 |
Federal Banking Regulators Finalize Liquidity Coverage Ratio |
Katten |
| Jan 4 2014 |
Commodity Futures Trading Commission (CFTC) Issues No-Action Relief from Certain Swap Data Reporting Requirements |
Katten |
| Nov 10 2020 |
Good Copyright News for Social Media Influencers and Potentially the Companies That Hire Them |
Katten |
| Apr 2 2021 |
2021 Advisory Committee Overview and Engagement Notice |
Katten |
| Apr 6 2013 |
SEC Extends Compliance Date for Certain Large Trader Requirements |
Katten |
| Oct 30 2015 |
Federal Reserve Issues Guidance on Waiving of Examinations Prior to Membership or Merger Into a State Member Bank |
Katten |
| Mar 31 2017 |
FINRA Issues Regulatory Notice on GASB Accounting Support Fee |
Katten |
| Sep 7 2023 |
FINRA Settles First Significant CAT Reporting Enforcement Action |
Katten |
| Jan 11 2014 |
Judges Raise Concerns Regarding SEC (Securities and Exchange Commission) Conflict Minerals Rule at Appeal Hearing |
Katten |
| Oct 20 2017 |
Reminder: Action Required by December 31 To Avoid Losing DMCA Safe Harbor Protection |
Katten |
| Feb 4 2019 |
Bridging the Week by Gary DeWaal: January 28 – February 1 and February 4, 2019 (Spoofing; SEF Trading; Security Tokens; Bitcoin Sales) [VIDEO] |
Katten |
| Oct 20 2017 |
SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure |
Katten |
| Jan 15 2014 |
The New gTLD Program: Latest Updates on Brand Protection and the Trademark Clearinghouse |
Katten |
| Mar 15 2023 |
Recent NLRB Decision Impacts Employer Use of Non-Disparagement and Confidentiality Clauses |
Katten |
| Nov 6 2015 |
Director of SEC’s Enforcement Division Speaks About Market Structure Enforcement |
Katten |
| Oct 28 2017 |
FINRA Proposes to Make Permanent a TRACE-Reporting Exemption |
Katten |
| Nov 7 2016 |
Bridging the Week: October 31 to November 4 and November 7, 2016 (Regulation AT Amended; Audit Partners; EFRPs; Form 40; Brexit) [VIDEO] |
Katten |
| Apr 24 2015 |
SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award |
Katten |
| Apr 14 2017 |
National Adjudicatory Council Revises Sanction Guidelines |
Katten |
| Apr 16 2021 |
CFTC Staff Issues Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19 |
Katten |
| Nov 11 2016 |
Commodity Futures Trading Commission (CFTC) Approves Supplemental Proposal to Regulation AT |
Katten |
| Sep 27 2023 |
Health Equity: An Important Pillar of ESG |
Katten |
| Mar 11 2024 |
The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A Security |
Katten |
| Feb 8 2014 |
Commodity Futures Trading Commission (CFTC) Issues Guidance on New Filing Requirements |
Katten |
| Nov 17 2016 |
DOL Issues (Some) Additional Guidance on the Fiduciary Investment Advice Rule and Best Interest Contract Exemption |
Katten |
| Apr 23 2021 |
Gary Gensler Names Initial Senior Staff Members |
Katten |
| May 4 2015 |
Bridging the Week: April 27 to May 1 and 4, 2015 (More Spoofing; Flash Boys Again; Cybersecurity; CCP Risk; Security-Based Swaps) |
Katten |
| Dec 4 2020 |
Nasdaq Seeks SEC Approval of Board Diversity Rule |
Katten |
| May 9 2016 |
Bridging the Week: May 2 – 6 and 9, 2016 (AML CIP; Ether; LOPR; Variable Annuities) |
Katten |
| Dec 4 2020 |
CFTC Staff Extends Existing Brexit-Related Relief to Provide Market Certainty & Temporary Relief to DTCC Data Repository LLC and Related Entities from Reporting Requirements |
Katten |
