| Feb 2 2018 |
FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations |
Katten |
| Jul 24 2020 |
CFTC Swap Transactions Update July 2020 |
Katten |
| Jan 12 2013 |
FINRA Provides Guidance on Rules Governing Communications with the Public |
Katten |
| Aug 26 2016 |
SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K |
Katten |
| Apr 5 2019 |
SEC Releases Framework for “Investment Contract” Analysis of Digital Assets |
Katten |
| Sep 30 2013 |
Commodity Futures Trading Commission (CFTC) Grants LCH.Clearnet Time-Limited No-Action Relief to Clear Swaps Executed on Designated Contract Markets (DCMs) or Swap Executed Facilities (SEFs) |
Katten |
| Jan 8 2021 |
CFTC Provides Relief to DCOs from New Daily Reporting Requirements |
Katten |
| Jan 8 2021 |
SEC Again Approves NYSE’s Direct Listing Rules |
Katten |
| Jan 18 2013 |
Estate Planning After the Fiscal Cliff Deal |
Katten |
| Feb 6 2015 |
Chicago Board Options Exchange (CBOE) Proposes to Amend Order Ticket Requirements for Certain Orders |
Katten |
| Jan 19 2013 |
SEC Approves NYSE and NASDAQ New Compensation Committee and Adviser Listing Standards |
Katten |
| Apr 3 2020 |
SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 |
Katten |
| Sep 2 2016 |
CFTC Proposes Amendments to Whistleblower Awards Process |
Katten |
| Feb 26 2016 |
FDIC Approves Proposal on Deposit Recordkeeping Requirements in Large Bank Failures |
Katten |
| Aug 28 2015 |
Anti-Money Laundering Program and Suspicious Activity Report Filing for Investment Advisers |
Katten |
| Oct 13 2013 |
SEC Launches Public Website for Analyzing Exchange Data |
Katten |
| Jun 27 2021 |
SAG-AFTRA and the JPC’s New Influencer Waiver |
Katten |
| Nov 22 2019 |
CFTC to Hold Open Commission Meeting on November 25 |
Katten |
| Feb 2 2013 |
National Futures Association "NFA" Sets Implementation Deadline for Phase 1 of Customer Segregated Funds Reporting |
Katten |
| Jan 15 2021 |
SEC Issues No-Action Letter Regarding Institutional Family Offices |
Katten |
| Sep 16 2016 |
Office of the Comptroller of the Currency Releases Bank Supervision Operating Plan for Fiscal Year 2017 |
Katten |
| Oct 11 2018 |
SEC Charges Broker-Dealer/Adviser With Inadequate Cybersecurity Procedures |
Katten |
| Sep 11 2015 |
SEC Charges Four Individuals and Nutrition Company for Failure To Disclose Executive Perks |
Katten |
| Mar 11 2016 |
National Futures Association (NFA) To Review Initial Margin Models for SDs and MSPs |
Katten |
| Dec 6 2019 |
CFTC December Meetings |
Katten |
| Apr 10 2020 |
CFTC Releases COVID-19-Related Customer Advisory on Fee Scams |
Katten |
| Apr 10 2020 |
SEC Publishes Risk Alerts Regarding Reg BI and Form CRS |
Katten |
| Aug 21 2020 |
Amendments to Risk Disclosure Statements for Security Futures Contracts Become Effective |
Katten |
| Sep 15 2017 |
SEC Issues Statement on September 5 Implementation of “T+2” Settlement Cycle for Securities Transactions |
Katten |
| May 3 2019 |
CFTC Proposes Amendments to DCO Regulations |
Katten |
| Sep 23 2015 |
The Department of Justice's Focus on Individual Accountability for Corporate Wrongdoing |
Katten |
| Mar 2 2013 |
New Fees Coming for Health Plan Sponsors |
Katten |
| Jul 25 2014 |
SEC Issues Guidance on Proxy Voting |
Katten |
| Jun 27 2023 |
A New Era for Continuation Fund Transactions: ILPA Issues New Guidance |
Katten |
| Jun 28 2023 |
Coinbase, Inc. v. Bielski: Interlocutory Appeals on the Question of Arbitrability Automatically Stay District Court Proceedings |
Katten |
