| May 20 2019 |
Bridging the Week by Gary DeWaal: May 13 –17 and May 20, 2019 (Bump Goes the Futures Orders; JAC Warns FCMs) |
Katten |
| Mar 12 2013 |
Protect Your Trademark Online: Global Trademark Clearinghouse to Begin Accepting Submissions |
Katten |
| Mar 16 2013 |
Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee |
Katten |
| Nov 16 2018 |
SEC Approves New Supplement to Options Disclosure Document |
Katten |
| Sep 16 2020 |
Public Company Acquired Company Financial Statement Rules |
Katten |
| Dec 6 2013 |
NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence |
Katten |
| Mar 31 2017 |
FINRA Issues Regulatory Notice on GASB Accounting Support Fee |
Katten |
| Oct 20 2017 |
Reminder: Action Required by December 31 To Avoid Losing DMCA Safe Harbor Protection |
Katten |
| Apr 24 2020 |
SEC Provides for Phased CAT Broker-Dealer Reporting Timelines |
Katten |
| Sep 18 2020 |
FINRA Issues Guidance on Public Offerings |
Katten |
| Mar 25 2013 |
Banking Agencies Issue Guidance on Leveraged Lending |
Katten |
| Oct 20 2017 |
SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure |
Katten |
| Apr 1 2013 |
FINRA Proposed Rule Change to Extend Temporary Limit on Application of FINRA Rules to Security-Based Swaps |
Katten |
| Oct 28 2017 |
FINRA Proposes to Make Permanent a TRACE-Reporting Exemption |
Katten |
| Mar 2 2021 |
AML Enforcement Continues to Trend in 2021 |
Katten |
| Dec 20 2013 |
Federal Deposit Insurance Corporation (FDIC) Issues Latest Supervisory Insights Journal (Winter Edition) |
Katten |
| Apr 6 2013 |
SEC Extends Compliance Date for Certain Large Trader Requirements |
Katten |
| Jan 17 2024 |
Neither a Borrower Nor a Lender Be! |
Katten |
| Nov 7 2016 |
Bridging the Week: October 31 to November 4 and November 7, 2016 (Regulation AT Amended; Audit Partners; EFRPs; Form 40; Brexit) [VIDEO] |
Katten |
| Feb 13 2022 |
SEC Proposes Radical Changes to Practices for Private Funds |
Katten |
| Sep 7 2014 |
Federal Banking Regulators Finalize Liquidity Coverage Ratio |
Katten |
| Apr 14 2017 |
National Adjudicatory Council Revises Sanction Guidelines |
Katten |
| Apr 6 2018 |
ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2018 |
Katten |
| Jun 7 2019 |
ISDA Publishes Initial Margin Implementation Guidance for Financial End Users |
Katten |
| Jan 4 2014 |
Commodity Futures Trading Commission (CFTC) Issues No-Action Relief from Certain Swap Data Reporting Requirements |
Katten |
| Oct 30 2015 |
Institutional Shareholder Services Releases 2016 Draft Voting Policy Changes for Comment |
Katten |
| Nov 11 2016 |
Commodity Futures Trading Commission (CFTC) Approves Supplemental Proposal to Regulation AT |
Katten |
| Oct 2 2020 |
FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules |
Katten |
| Jan 11 2014 |
Judges Raise Concerns Regarding SEC (Securities and Exchange Commission) Conflict Minerals Rule at Appeal Hearing |
Katten |
| Feb 1 2020 |
Volcker Rule Regulators Propose Changes to Covered Fund Rules |
Katten |
| Jan 15 2014 |
The New gTLD Program: Latest Updates on Brand Protection and the Trademark Clearinghouse |
Katten |
| Nov 7 2015 |
SEC Adopts Final Crowdfunding Rules, Completing JOBS Act Rulemaking |
Katten |
| Nov 17 2016 |
DOL Issues (Some) Additional Guidance on the Fiduciary Investment Advice Rule and Best Interest Contract Exemption |
Katten |
| Apr 20 2015 |
Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members |
Katten |
| Oct 10 2020 |
ISDA Efforts to Help Markets Deal With LIBOR Replacement Clear DOJ Hurdle |
Katten |
