| Jan 7 2013 |
Home Mortgage Disclosure Act's "HMDA" Regulation C Exemption Limits Increased by Consumer Financial Protection Bureau |
Katten |
| Jan 30 2015 |
CME Group Exchanges Revise Position Limit Rules |
Katten |
| Aug 19 2016 |
Financial Industry Regulatory Authority Files Proposed Amendment to FINRA Rule 2232 |
Katten |
| Jan 14 2013 |
Financial Industry Regulatory Authority "FINRA" Requests Comment on Proposed Rule Requiring Disclosure of Conflicts of Interest in Recruitment Incentives |
Katten |
| Feb 6 2015 |
SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition |
Katten |
| Jul 24 2020 |
OCC Publishes Proposed Rule Regarding “True Lender” |
Katten |
| Jan 19 2013 |
SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification Program Obligations |
Katten |
| Aug 26 2016 |
NFA Issues Notice Regarding the Designation of Executive Representatives for Electronic Voting Purposes |
Katten |
| Sep 17 2018 |
Bridging the Week by Gary DeWaal: September 10 - 14 and September 17, 2018 (ICOs; Registration; Audit Trail; Reporting; Blue Sheets; Supervision) |
Katten |
| Oct 7 2013 |
Commodity Futures Trading Commission (CFTC) Staff Responds to FAQs Regarding Commodity Options |
Katten |
| Jul 29 2020 |
Initial Margin Guidance for US Swap End Users |
Katten |
| Feb 6 2018 |
EPA Replaces the MACT "Once In, Always In" Policy |
Katten |
| May 16 2024 |
Labor Department's Final Rule on FLSA Salary Threshold Increases Explained |
Katten |
| Nov 22 2019 |
FINRA Proposes Limitations on Serving as a Customer’s Beneficiary |
Katten |
| Feb 17 2015 |
Agencies Issue Tool for Calculating Capital Requirements for Securitization Exposures |
Katten |
| Feb 26 2016 |
FINRA Requests Information Regarding Firm Culture and Values |
Katten |
| Sep 2 2016 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 |
Katten |
| Feb 4 2013 |
Commodity Futures Trading Commissions (CFTC) to Host Roundtable on Enhancing Customer Funds Protection |
Katten |
| Sep 6 2016 |
New FDA Regulations for OTC Antibacterial Hand and Body Washes |
Katten |
| Feb 27 2017 |
EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules |
Katten |
| Dec 6 2019 |
CFTC December Meetings |
Katten |
| Oct 26 2013 |
Commodity Futures Trading Commission (CFTC) Extends Relief from De Minimis Exception to Certain Non-US Affiliates |
Katten |
| Jul 8 2014 |
Food and Drug Administration (FDA) Issues Two Additional Draft Guidance Documents on Social Media |
Katten |
| Feb 17 2018 |
CFTC Issues Interim Final Rule To Reorder and Alphabetize Definition Regulation |
Katten |
| Oct 5 2018 |
CFTC Releases White Paper Addressing Cross-Border Swaps Regulation; CFTC and Australian Securities Regulator Sign FinTech Cooperation Agreement |
Katten |
| Mar 2 2017 |
President Trump Issues Executive Order Directing EPA to Review the WOTUS Rule |
Katten |
| Nov 3 2013 |
Commodity Futures Trading Commission (CFTC) Seeks Comments on TW SEF Available-to-Trade Certification |
Katten |
| May 3 2019 |
CFTC Proposes Amendments to DCO Regulations |
Katten |
| Sep 18 2015 |
FCA Announces Changes to GABRIEL |
Katten |
| Mar 6 2017 |
Bridging the Week: EFRPs; Sanctions; Regulator Hide and Seek; Red Flags Missed Again February 27 to March 3 and March 6, 2017 |
Katten |
| Aug 18 2020 |
A Promise Made, a Promise Kept: CFTC Adopts Final Cross-Border Swaps Rules Largely as Proposed |
Katten |
| Nov 9 2013 |
Foreign Listed Stock Index - Futures and Options Approvals |
Katten |
| Apr 10 2020 |
FINRA Issues Statement on SEC Risk Alerts Regarding Reg BI and Form CRS |
Katten |
| Jun 25 2023 |
Funds NOT Immediately Available: Actions FCMs Should Take to Protect Customer Funds Deposited at Distressed Banks |
Katten |
| Mar 2 2013 |
New Fees Coming for Health Plan Sponsors |
Katten |
