| Mar 22 2021 |
The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest |
Katten |
| Oct 23 2020 |
Banking Agencies Issue Proposed Rule Addressing Role of Supervisory Guidance |
Katten |
| Oct 23 2020 |
ESMA Publishes Consultation Paper on Draft RTS Relating to CCPs |
Katten |
| Oct 4 2021 |
Cautionary Tale: Commercializing ‘Street Cred’ |
Katten |
| Jul 8 2019 |
Bridging the Week by Gary DeWaal: July 1 – 5, and July 8, 2019 (Banning Cryptocurrency Futures; Apple Computer; Position Limits Violation) |
Katten |
| Mar 26 2021 |
FINRA Updates - Corporate & Financial Weekly Digest, Week of March 26, 2021 |
Katten |
| Oct 30 2020 |
SEC Staff Issues No-Action Relief Addressing Customer Protection Rule Violations Despite the Objection of Two Commissioners |
Katten |
| Apr 14 2013 |
ICE Clear Europe Authorized to Portfolio Margin Swaps and Security-Based Swaps |
Katten |
| Jan 18 2019 |
FINRA Regulatory notices: Auction Transactions and Supplemental Statement of Income |
Katten |
| Jul 12 2019 |
CFTC Staff Provide Guidance, No-Action Relief With Respect to the Treatment of Separate Accounts by FCMs |
Katten |
| Dec 1 2017 |
FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP |
Katten |
| Jul 14 2019 |
Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities |
Katten |
| Apr 21 2013 |
SEC and Commodity Futures Trading Commission (CFTC) Adopt Joint Rules to Help Protect Investors from Identity Theft |
Katten |
| Jan 25 2019 |
Supreme Court Declines To Disturb Pre-AIA Interpretation of "On Sale" Bar |
Katten |
| Apr 2 2021 |
2021 Advisory Committee Overview and Engagement Notice |
Katten |
| May 19 2017 |
CFPB Requests Information Regarding the Small Business Lending Market |
Katten |
| May 22 2017 |
Bridging the Week: May 15-19, May 22, 2017 (Unintended Consequences; Ransomware; Insider Trading; Alleged Lying) [VIDEO] |
Katten |
| May 22 2017 |
US Supreme Court Limits Venue in Patent Cases—Is It the Death Knell for Forum Shopping? |
Katten |
| May 5 2013 |
Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities |
Katten |
| May 25 2018 |
EPA Revises Policy on "Common Control" in Source Determinations Under the Federal Clean Air Act |
Katten |
| May 29 2015 |
Former Olympic Games Sponsor Settles With SEC for $25 Million Over FCPA Violations |
Katten |
| Dec 15 2017 |
CFTC Requests Comment on Proposed Exemptive Order to Permit ICE Clear Credit, ICE Clear US and ICE Clear Europe to Invest Customer Funds in French and German Sovereign Debt |
Katten |
| Jun 6 2016 |
CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits |
Katten |
| May 29 2020 |
FCA Proposes Part 3 of NFA’s Compliance Rules Regarding Disciplinary Process Amendments and Technical Amendments to Various Rules & Interpretive Notices |
Katten |
| Jun 4 2018 |
Bridging the Weeks by Gary DeWaal: May 21 to June 1 and June 4, 2018 (Self-Certifications; Virtual Currencies; Summary Suspensions; Spoofing) [VIDEO] |
Katten |
| Apr 16 2021 |
CFTC Staff Issues Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19 |
Katten |
| Jun 2 2017 |
NFA Issues Notice Regarding Monthly Risk Data Reporting Requirements for Swap Dealers |
Katten |
| Jun 5 2015 |
FINRA Proposes Revised BrokerCheck Hyperlink Rule |
Katten |
| Oct 24 2014 |
Committee on Payments and Market Infrastructures-International Organization of Securities Commissioners (CPMI-IOSCO) Recovery of Financial Market Infrastructures Report |
Katten |
| Feb 15 2019 |
CFTC: Exam Policies and Rule Amendment ICE Futures Filing |
Katten |
| Jun 1 2013 |
Securities and Exchange Commission (SEC) Division of Corporation Finance Issues 13 New and Revised Compliance and Disclosure Interpretations (C&DIs) |
Katten |
| Dec 11 2015 |
FAST Act Legislation and Impact on Securities Law |
Katten |
| Apr 23 2021 |
Gary Gensler Names Initial Senior Staff Members |
Katten |
| Jun 17 2016 |
CFTC Seeks Comment With Respect to ICE Futures US Rule Amendment Certification |
Katten |
| Dec 18 2015 |
OCC Issues Recovery Proposal for Institutions With Assets of $50 Billion or More |
Katten |
