| Nov 1 2023 |
New FTC Rule Requires Certain Financial Institutions to Report Loss of Unencrypted Customer Data |
Katten |
| Jun 26 2020 |
SEC Antitrust Memo; Chairman Speaks on Equity Market Structure; FINRA CAB Suitability |
Katten |
| May 9 2014 |
Consumer Financial Protection Bureau (CFPB) Proposes Rule on Privacy Disclosures |
Katten |
| Dec 19 2014 |
Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules |
Katten |
| Dec 21 2014 |
OCC Issues Bank Accounting Advisory Series Update |
Katten |
| Jul 17 2015 |
FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules |
Katten |
| Jul 14 2017 |
SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements |
Katten |
| Nov 24 2012 |
SEC and Department of Justice Release Detailed FCPA Resource Guide |
Katten |
| Apr 29 2024 |
Supreme Court Rejects 'Pure Omissions' Liability Under Rule 10b-5 |
Katten |
| May 23 2014 |
CME Delays Prohibition on Transitory Exchange for Related Positions (EFRPs) |
Katten |
| Aug 3 2016 |
Proposed Treasury Regulations Provide Additional Flexibility, Clarity and Planning Opportunities to Sponsors of Deferred Compensation Arrangements |
Katten |
| Aug 10 2018 |
SEC Division of Corporation Finance Issues C&DIs Regarding Notices of Exempt Solicitation |
Katten |
| Aug 18 2013 |
SEC Issues Risk Alert on Options Trading Used to Evade Short-Sale Requirements |
Katten |
| Jul 24 2017 |
Bridging the Week: July 17 to 21 and July 24, 2017 (LOPR; Transitory EFRPs; Injunction Against Cutting Off Services; Convictions for Manipulation Overturned; London Whale) [VIDEO] |
Katten |
| Oct 18 2019 |
SEC Announces the Formation of Asset Management Advisory Committee |
Katten |
| Jan 12 2015 |
CFTC Staff Extends No-Action Relief for Certain FCMs from Receipt of Depository Acknowledgment Letters |
Katten |
| Jan 25 2017 |
Regulatory Freeze Memorandum To Have Minimal Impact on Structured Finance Industry |
Katten |
| May 1 2024 |
10 Legal Trends for Brands to Watch When Investing in Sports Marketing |
Katten |
| Jul 26 2017 |
Between Bridges: SEC Declines to Prosecute Issuer of Digital Tokens That It Deems Securities Not Issued in Accordance with US Securities Laws |
Katten |
| Mar 22 2019 |
FINRA Issues Guidance on FOCUS Reporting for Operating Leases |
Katten |
| Jan 27 2017 |
CFTC Staff Grants No-Action Relief From Residual Interest Withdrawal Restrictions |
Katten |
| Feb 5 2016 |
CFTC Approves Derivative Clearing Organization Registration Order for Eurex Clearing AG |
Katten |
| Mar 27 2020 |
Regulatory Relief Issued for CPOs and CTAs |
Katten |
| Aug 12 2016 |
FINRA Requests Comments on Proposed Gift, Gratuities and Non-Cash Compensation Rule Amendments |
Katten |
| Jan 23 2015 |
SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals |
Katten |
| Sep 16 2013 |
SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule 204 of Regulation SHO |
Katten |
| Feb 12 2016 |
European Commission and CFTC Announce Harmonized Approach to CCPs |
Katten |
| Feb 17 2016 |
Further Relaxation of Sanctions for Commercial Aircraft Operations in Cuba |
Katten |
| Sep 7 2018 |
Amended FINRA Registration Rules To Take Effect October 1 |
Katten |
| Apr 7 2019 |
FCA and SEC Sign Updated Memoranda of Understanding |
Katten |
| Aug 11 2017 |
Sign of Future Changes? DOL Proposes 18-Month Extension of Transition Period for Compliance With ERISA "Fiduciary Investment Advice" Rule |
Katten |
| Nov 8 2019 |
SEC Proposes New Amendments to Modernize Shareholder Proposal Rules |
Katten |
| Jan 30 2015 |
National Futures Association (NFA) Increases Minimum Security Deposits for Forex Transactions |
Katten |
| Aug 26 2016 |
CFTC Issues No-Action Letter Regarding Use of Security-Based Swaps in Initial Margin Calculations for Uncleared Swaps |
Katten |
| Feb 2 2018 |
FTC Releases Revised Hart-Scott-Rodino Filing Thresholds for 2018 |
Katten |
