| Feb 9 2014 |
SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - Securities and Exchange Commission |
Katten |
| Feb 14 2020 |
FINRA Issues Investor Alert Regarding Required Minimum Distributions |
Katten |
| Feb 17 2020 |
Bridging the Week by Gary DeWaal: February 10 to 14, and February 17, 2020 (Cryptoasset Trading Platforms; Manipulation and Contempt) |
Katten |
| Nov 30 2015 |
Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] |
Katten |
| Jun 28 2019 |
CFTC Publishes Request for Comment on Proposed Rule Change to Cross-Border Regulatory Commitments |
Katten |
| May 5 2017 |
SEC Grants No-Action Relief Regarding Created ETF Shares and Failure to Close Transactions |
Katten |
| May 4 2018 |
CFTC Staff Issues Interpretive Guidance Regarding Aggregation by Passive Pool Investors |
Katten |
| Oct 23 2020 |
CFTC Issues Staff Advisory on Virtual Currency & Approves Final Rule on Security Futures Margin |
Katten |
| Oct 23 2020 |
FSB Publishes Global Transition Roadmap on LIBOR |
Katten |
| Mar 26 2021 |
NFA Issues Notice Regarding Effective Date of Interpretive Notice on Use of Third-Party Service Providers |
Katten |
| May 9 2015 |
SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies |
Katten |
| May 11 2018 |
SEC Guidance Expanding Exclusions for Non-GAAP Information |
Katten |
| May 12 2017 |
US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3 |
Katten |
| May 14 2018 |
Bridging the Week by Gary DeWaal: May 7 to 11 and May 14, 2018 (Whistleblowing; Piling On; Mismarks; Insider Trading; Let’s Talk About ICOs) [VIDEO] |
Katten |
| Oct 30 2020 |
OCC Issues Final “True Lender” Rule |
Katten |
| Mar 21 2022 |
Commerce Department Identification of Aircraft Exported to Russia in Violation of Export Controls Offers Guidance on Whether the Continued Leasing or Finance of Aircraft in Russia Violates US Law |
Katten |
| Apr 20 2013 |
Department of Justice Narrows "Carve Out" Practice Regarding Corporate Plea Agreements |
Katten |
| May 20 2016 |
SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures |
Katten |
| Apr 2 2021 |
NFA Issues Notice Regarding Effective Date of NFA’s Swap Dealer Capital Requirements |
Katten |
| Apr 27 2013 |
National Futures Association (NFA) Amends Commodity Pool Operators and Commodity Trading Advisors (CTA) Quarterly Reporting Requirements |
Katten |
| May 25 2015 |
CFTC Proposes to Exempt Certain Southwest Power Pool Transactions |
Katten |
| Dec 11 2017 |
EU and CFTC Implement Mutual Recognition of Derivatives Trading Venues |
Katten |
| Apr 9 2021 |
Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers |
Katten |
| May 22 2020 |
CFTC Division of Enforcement Civil Monetary Penalty Guidance and Seeks Public Comments on Strategic Plan |
Katten |
| Nov 10 2020 |
A Look at Commercial Co-Ventures with 2020 Vision |
Katten |
| Mar 7 2020 |
NFA Issues Guidance Regarding Coronavirus |
Katten |
| May 26 2017 |
CFTC Approves Amendments to Recordkeeping Requirements |
Katten |
| Oct 14 2022 |
Six Takeaways From FINRA's Revised Sanction Guidelines |
Katten |
| Jun 6 2016 |
Bridging Weeks: AML; DLT; Attempted Manipulation; Manipulative Device; Registration; EFRPs; Block Trades; Hedge Exemptions |
Katten |
| Apr 16 2021 |
CFTC Staff Provides Further Brexit-Related Relief |
Katten |
| Jul 29 2019 |
Bridging the Week by Gary DeWaal: July 22 – 26, and July 29, 2019 (Or ≠ And; Actual Delivery = Real Delivery; Gaming Tokens ≠ Securities; Ain’t Broke = Working) |
Katten |
| Dec 4 2015 |
SEC Approves Changes To Reduce Waiting Period for Release of Information Reported on Form U5 Through BrokerCheck |
Katten |
| Jun 2 2017 |
CFTC Extends No-Action Relief to SEFs and DCMs From Certain Error Correction Regulations |
Katten |
| Dec 7 2015 |
Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud - Bridging the Weeks: November 23 – December 7, 2015 [VIDEO] |
Katten |
| Nov 20 2020 |
SEC Division of Corporation Finance Releases Financial Reporting Manual Updates |
Katten |
