| Nov 13 2020 |
CFTC Issues Order of Registration to ICE Futures Abu Dhabi Limited to Permit Trading by Direct Access from the United States |
Katten |
| Jun 4 2018 |
Bridging the Weeks by Gary DeWaal: May 21 to June 1 and June 4, 2018 (Self-Certifications; Virtual Currencies; Summary Suspensions; Spoofing) [VIDEO] |
Katten |
| Jun 10 2016 |
SEC Adopts Trade Acknowledgement and Verification Rules for Security-Based Swaps |
Katten |
| Jun 1 2013 |
Securities and Exchange Commission (SEC) Division of Corporation Finance Issues 13 New and Revised Compliance and Disclosure Interpretations (C&DIs) |
Katten |
| Jun 5 2015 |
SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules |
Katten |
| Jun 7 2017 |
Compliance With ERISA Fiduciary Advice Rule for Private Investment Fund Managers and Sponsors and Managed Account Advisers: Beginning June 9, 2017 |
Katten |
| Feb 15 2019 |
CFTC: Exam Policies and Rule Amendment ICE Futures Filing |
Katten |
| Mar 8 2024 |
SEC Finalizes Much-Anticipated Climate Disclosure Rules |
Katten |
| Dec 11 2015 |
CFTC Extends Continued No-Action Relief From Certain Recordkeeping Requirements |
Katten |
| Apr 29 2021 |
Businesses Must Prepare For Expansive AML Reporting of Beneficial Ownership Interests |
Katten |
| Sep 27 2023 |
Health Equity: An Important Pillar of ESG |
Katten |
| Nov 10 2014 |
NFA (National Futures Association) Changes Public Display of FCM Financial Information on BASIC |
Katten |
| Dec 18 2015 |
CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs |
Katten |
| Apr 11 2014 |
CFTC (Commodity Futures and Trading Commission) Reissues and Clarifies Relief Regarding Swaps Trading on MTFs (Multilateral Trading Facilities) |
Katten |
| Jun 30 2013 |
Federal Reserve to Vote on Final Capital Rules |
Katten |
| Nov 14 2014 |
Commodity Futures Trading Commission (CFTC) Issues Further Relief for Package Transactions |
Katten |
| Jun 12 2020 |
OCC Promulgates Final Rule on “Valid When Made” |
Katten |
| Sep 6 2019 |
FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian |
Katten |
| Apr 18 2014 |
SEC (Securities and Exchange Commission) Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access |
Katten |
| Nov 23 2014 |
CFTC Proposes to Revise Interpretation on Forward Contracts with Embedded Volumetric Optionality |
Katten |
| Dec 11 2020 |
More USD LIBOR Transition Developments |
Katten |
| Jul 16 2013 |
Securities and Exchange Commission (SEC) Adopts and Proposes New Rules, Including Easing the Prohibition on General Solicitation |
Katten |
| Jul 8 2016 |
CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs |
Katten |
| Dec 8 2014 |
SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report |
Katten |
| Sep 20 2019 |
CFTC Market Risk Advisory Committee Approves Plain English IBOR Risk Disclosures |
Katten |
| Dec 18 2020 |
SEC Adopts Final Resource Extraction Disclosure Rules; Duplicative Regulation Clearing Agency Rule |
Katten |
| Dec 9 2014 |
Bridging the Week: December 1 to 5 and 8, 2014 [VIDEO] |
Katten |
| Jul 10 2015 |
SEC Division of Investment Management Issues Guidance Update Relating to Rule 204A-1 of the Investment Advisers Act |
Katten |
| Jul 13 2015 |
FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities |
Katten |
| Jan 15 2016 |
SEC 2016 Examination Priorities Focus on ETFs, Cybersecurity and Liquidity Controls for Fixed-Income Funds |
Katten |
| May 9 2014 |
Foreign Account Tax Compliance Act (FATCA) Transitional Relief and Extension of Time for the Implementation of New Account Procedures for Entity Investors |
Katten |
| Jun 26 2020 |
FDIC Publishes Final Rule Regarding the “Valid When Made” Doctrine |
Katten |
| Mar 8 2019 |
ISDA Proposes Amendments To Counter “Manufactured” Credit Derivative Defaults |
Katten |
| Dec 21 2014 |
Congress Eases Debt Level Restrictions for Smaller Banks, Thrifts |
Katten |
| Jan 22 2016 |
SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors |
Katten |
