| Nov 7 2014 |
CFTC Interprets Obligations to Send Initial Margin Segregation Notices and Reports |
Katten |
| Aug 19 2019 |
Bridging the Week by Gary DeWaal: August 12 - 16, and August 19, 2019 (Manipulation Settlement; CFTC Gag Agreement; Digital Securities Offering) |
Katten |
| Jun 24 2018 |
Federal Reserve Adopts Final Rule for Single Counterparty Credit Limit |
Katten |
| Apr 11 2014 |
CFTC (Commodity Futures Trading Commission) Extends Relief to FCMs (Futures Commission Merchants) from Certain Commingling Requirements |
Katten |
| Jun 23 2016 |
SEC Approves IEX as a National Securities Exchange and Issues Interpretation To Allow IEX "Speed Bump" |
Katten |
| Jun 29 2013 |
Portfolio Reconciliation and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants |
Katten |
| Jun 24 2016 |
CFTC Allows CME To Hold Customer Funds at the Bank of Canada |
Katten |
| Dec 11 2020 |
CFTC Interprets and Issues No-action Relief from Certain Clearing and Trade Execution Requirements & Provides Further Brexit-Related Relief to Provide Market Certainty |
Katten |
| Apr 18 2014 |
Securities and Exchange Commission (SEC) Brings Lawsuit Against Hedge Fund Manager for Defrauding Investors |
Katten |
| Aug 30 2019 |
FINRA Issues Guidance on Member Firms’ Supervisory Obligations When Participating in Investment-Related Activities With Municipal Clients |
Katten |
| Jan 6 2017 |
ISS Releases Changes to Equity Plan Score Card for 2017 |
Katten |
| Jun 30 2017 |
NYSE Withdraws Proposed Rule to Allow Listing Without an IPO |
Katten |
| Nov 28 2014 |
2014 Year-End Estate Planning Advisory |
Katten |
| Sep 7 2019 |
ISDA Publishes Narrowly Tailored Credit Event (NTCE) Protocol |
Katten |
| Jan 8 2016 |
CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information |
Katten |
| May 1 2014 |
Narrowing Colour Claims Re: Christian Louboutin Trademark |
Katten |
| Jan 10 2016 |
Revised Pay-to-Play Rules |
Katten |
| Sep 13 2019 |
SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS |
Katten |
| Jan 17 2017 |
Bridging the Week: Jan 9 to 13, Jan 17, 2017 (Record Retention; Position Limits-Setting Authority; Overcharging Fees; Misstating Regulatory Capital) VIDEO |
Katten |
| Dec 11 2014 |
ICANN Gears Up for Second Round of gTLD Applications Even as First Round Still Underway |
Katten |
| Jul 21 2018 |
CFTC Issues Customer Advisory on Digital Coins and Tokens |
Katten |
| Sep 20 2019 |
FDIC Proposes Amendments to Prudential Regulator Swap Margin Rules |
Katten |
| Jan 8 2018 |
Bridging the Weeks: December 18, 2017 – January 5 and January 8, 2018 (Self-Certification; NY BitLicenses; Texas C&D; Trading Adverse to Employer) |
Katten |
| Nov 25 2012 |
CFTC Issues FAQ on Energy Agreements |
Katten |
| Dec 19 2014 |
CFTC Extends Relief to Four Foreign Clearing Organizations |
Katten |
| Jul 22 2016 |
CFTC Extends DTCC-SWIFT’s LEI Provider Designation |
Katten |
| Jan 22 2016 |
FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions |
Katten |
| Dec 3 2012 |
SEC Publishes List of Rules to Be Reviewed Over Next 12 Months |
Katten |
| Jul 29 2016 |
CFTC Proposes To Amend Exemption From Registration for Certain Foreign Persons |
Katten |
| Dec 4 2012 |
SEC Whistleblower Report Highlights New Program's Activity and Success |
Katten |
| Jan 27 2017 |
MSRB Revises Customer Complaint and Related Recordkeeping Rules |
Katten |
| Jul 28 2017 |
ISDA To Publish T+2 Protocol |
Katten |
| Aug 10 2018 |
NFA Announces the Effective Date of Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities |
Katten |
| Jul 10 2020 |
ARRC Publishes Additional LIBOR Replacement Materials |
Katten |
| Jan 29 2016 |
Crowdfunding Portals Can Now Register with the SEC |
Katten |
