| Sep 10 2018 |
Bridging the Week by Gary DeWaal: August 27 to September 7 and September 10, 2018 (Quantitative Models; Cross-Border Swaps Guidance; The Meanings of “Or” and “Actual Delivery”) |
Katten |
| Feb 3 2015 |
Swaps Trading Rules; Sentinel; E-Mails; OCR; CCPs: Bridging the Week: January 26 to 30 and February 2, 2015 [VIDEO] |
Katten |
| Mar 31 2019 |
FINRA Proposes Data Service for Corporate Bond New Issues |
Katten |
| Feb 13 2016 |
UK FCA Publishes Policy Statement on the Implementation of UCITS V |
Katten |
| Aug 22 2016 |
Bridging the Week: August 15 to 19 and August 22, 2016 -Whistleblowing; President Banned; Bad Reports; CCP Risk; De Minimis [VIDEO] |
Katten |
| Jul 24 2020 |
FINRA Releases Notice on Expungement of Customer Dispute Information |
Katten |
| Sep 21 2018 |
SEC Commissioner Jackson Gives Speech Regarding the State of America’s Stock Exchanges |
Katten |
| Feb 11 2015 |
Tinder Swipes Left on Gap's New Ad Campaign: A Reminder to Always Check Terms of Service |
Katten |
| Apr 5 2019 |
NASDAQ Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA |
Katten |
| Feb 17 2017 |
CFTC Provides Time-Limited Relief for Variation Margin and Minimum Transfer Amount Provisions |
Katten |
| Feb 16 2015 |
OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks |
Katten |
| Nov 19 2012 |
Court Finds Defendants Jointly and Severally Liable for Disgorgement and Prejudgment Interest Award in Ponzi Scheme Case |
Katten |
| Jun 27 2014 |
SEC Orders Securities Exchanges and Financial Industry Regulatory Authority (FINRA) to Develop Tick Size Pilot Plan |
Katten |
| Feb 21 2015 |
CFTC Announces Members of Market Risk Advisory Committee |
Katten |
| Feb 26 2016 |
SEC Adopts Additional Rule for Cross-Border Security-Based Swaps |
Katten |
| Oct 5 2018 |
Federal Banking Agencies Issue Interagency Statement on Sharing Bank Secrecy Act Resources |
Katten |
| Sep 6 2016 |
Significant Changes to Form ADV and Performance Advertising Rules Adopted |
Katten |
| Feb 27 2017 |
Bridging the Weeks: Feb 13-24 and Feb 27 (Variation Margin; EFRPs, Wash Sales; Position Limits; Electronic Trader Tags; Cybersecurity) |
Katten |
| Sep 11 2015 |
CFTC Publishes Registration Deficiency List |
Katten |
| Sep 9 2016 |
FINRA Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities |
Katten |
| Oct 12 2018 |
CFTC Approves Proposed Regulations for CPOs and CTAs |
Katten |
| Feb 24 2018 |
FCA and CFTC Enter Into Cooperation Agreement on FinTech |
Katten |
| Oct 22 2018 |
Bridging the Week by Gary DeWaal: October 15 - 19 and October 22, 2018 (Bitcoin Fraud; Smart Contracts; Actual Delivery; Reg AT) |
Katten |
| Apr 10 2020 |
FCA Publishes Webpage on its Expectation of Funds During COVID-19 Pandemic |
Katten |
| Mar 6 2015 |
Supreme Court Limits Scope of SOX Anti-Shredding Provision |
Katten |
| Mar 2 2018 |
CFTC Extends Exemptive Relief From Quarterly Account Statements |
Katten |
| Dec 27 2012 |
Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs |
Katten |
| Sep 22 2017 |
CFTC Provides No-Action Relief From CPO and CTA Registration to a Private University |
Katten |
| May 3 2019 |
CFTC Approves Proposed Rule Regarding Certain Swap Data Repository and Data Reporting Requirements |
Katten |
| Jul 25 2014 |
SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive |
Katten |
| May 6 2019 |
Bridging the Week by Gary DeWaal: April 29 – May 3 and May 6, 2019 (Fintech Charters; Fractional Reserves OK for Stablecoins?) [VIDEO] |
Katten |
| Mar 13 2017 |
Layering, Cross-Market Manipulation, Retaliatory Firing and Non-Cooperation - Bridging the Week: March 6 - 10, March 13, 2017 [VIDEO] |
Katten |
| Jan 6 2013 |
Commodity Futures Trading Commission "CFTC" Issues Final Order on Cross-Border Swaps |
Katten |
| Mar 18 2016 |
CFTC Issues No Action Relief for EU-Based DCOs Authorized to Operate in EU |
Katten |
| Oct 2 2015 |
Banking Agencies Announce EGRPRA Meeting |
Katten |
