| Mar 9 2014 |
CFTC Reissues FAQ on Commodity Options - Commodity Futures Trading Commission |
Katten |
| Jun 3 2016 |
National Futures Association Proposes Late Filing Fee for NFA Form PQR and Form PR |
Katten |
| Apr 9 2021 |
FINRA Proposes Extension of Temporary COVID-19 Related Amendments |
Katten |
| Jun 5 2015 |
FINRA Proposes Revised BrokerCheck Hyperlink Rule |
Katten |
| Dec 4 2015 |
FINRA Issues Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets |
Katten |
| Mar 15 2014 |
Joint Audit Committee Adopts Template Acknowledgment Letters |
Katten |
| Oct 24 2014 |
Committee on Payments and Market Infrastructures-International Organization of Securities Commissioners (CPMI-IOSCO) Recovery of Financial Market Infrastructures Report |
Katten |
| Mar 21 2014 |
CFTC Requests Comment on Swap Data Reporting Rules - Commodity Futures Trading Commission |
Katten |
| Mar 14 2024 |
Back to the Drawing-Board: The CFTC Re-Proposes Rules to Codify Letter 19-17 |
Katten |
| Dec 14 2015 |
Bridging the Week: December 7 - 11 and 14, 2015 (Investment Companies and Derivatives; Attempted Manipulation; HFTs; Conviction Overturned) |
Katten |
| Dec 4 2020 |
Possible Life After 2021 for Some US Dollar LIBOR Tenors |
Katten |
| Dec 18 2015 |
SEC Division of Corporation Finance Issues New CDIs on Fixing America’s Surface Transportation Act |
Katten |
| Dec 21 2015 |
DOJ and DOL Expand and Promote Worker Endangerment Initiative |
Katten |
| Jun 28 2016 |
Structuring Equity Interests for Independent Sponsors |
Katten |
| Apr 29 2021 |
Businesses Must Prepare For Expansive AML Reporting of Beneficial Ownership Interests |
Katten |
| Jun 21 2013 |
National Futures Association (NFA) Issues a Notice Regarding Segregated Account Balance Reporting |
Katten |
| Jun 19 2020 |
NYSE Proposes Rule Changes Regarding the Partial Re-Opening of the Trading Floor |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Issues New FAQs on Conflict Minerals |
Katten |
| Apr 17 2023 |
Deleveraging Through the LMA Intercreditor Distressed Disposal: How to Navigate a Challenge-Free Process |
Katten |
| Jan 9 2016 |
CFTC Reminds SDs and MSPs of Swap Reporting Obligations |
Katten |
| Dec 5 2014 |
SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking |
Katten |
| May 5 2022 |
SEC Proposes Climate-Related Disclosure Requirements |
Katten |
| Jul 7 2017 |
NFA Publishes Information For CTAs Using Third-Party Recordkeeping |
Katten |
| Sep 20 2019 |
CFTC and European Commission Issue Joint Statement Following Meeting on Cross-Border Derivatives Regulatory Issues |
Katten |
| Mar 1 2019 |
SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers |
Katten |
| Jul 11 2017 |
CFPB Arbitration Rule Summary: Class Action Waivers Prohibited in Broad Range of Consumer Credit Transactions |
Katten |
| Jul 15 2016 |
SEC Proposes Amendments To Update and Simplify Disclosure Requirements |
Katten |
| May 12 2022 |
FTC Goes on Penalty Offense, Warns of Hefty Fines for Deceptive Advertising |
Katten |
| Mar 8 2019 |
FTC Releases Revised Hart-Scott-Rodino Filing Thresholds for 2019 |
Katten |
| Jul 18 2015 |
NFA Requires Notice From CPOs that Consolidate Filings of Subsidiary Pools |
Katten |
| Jul 22 2016 |
SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look |
Katten |
| Jul 6 2020 |
LIBOR Preparedness Exams Are Coming – Is Your Firm Ready? |
Katten |
| Nov 12 2012 |
SEC to Extend Filing Deadlines for Filers Affected by Hurricane Sandy |
Katten |
| Jul 26 2013 |
Mandatory Clearing of iTraxx Credit Default Swap (CDS) Indices for Category 2 Entities Began July 25 |
Katten |
| Nov 25 2012 |
CFTC Proposes Swaps Report |
Katten |
