| Feb 5 2021 |
2021 Report on FINRA’s Examination and Risk Monitoring Program |
Katten |
| Oct 14 2016 |
“Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility |
Katten |
| Dec 14 2013 |
Concurrent Resolution of Foreign Corrupt Practices Act (FCPA), Export Controls and Sanctions Violations Demonstrates Close Cooperation of Federal Agencies |
Katten |
| Mar 20 2017 |
Bridging the Week: March 13 - 17 and March 20, 2017 (Tough Love; KISS; Third-Party Deposits; Segregation Breaches) |
Katten |
| Mar 12 2013 |
Protect Your Trademark Online: Global Trademark Clearinghouse to Begin Accepting Submissions |
Katten |
| Sep 16 2020 |
Public Company Acquired Company Financial Statement Rules |
Katten |
| Mar 16 2013 |
Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee |
Katten |
| May 24 2019 |
Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments |
Katten |
| Dec 22 2013 |
SEC Announces Enforcement Results for 2013 |
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 |
| Feb 19 2021 |
Structuring a PDP Loan to Protect the Lender From an Airline Bankruptcy |
Katten |
| Dec 7 2018 |
FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information) |
Katten |
| Apr 1 2013 |
FINRA Proposed Rule Change to Extend Temporary Limit on Application of FINRA Rules to Security-Based Swaps |
Katten |
| Sep 13 2014 |
Banking Agencies Request Comment on Proposed Questions and Answers Regarding Community Reinvestment |
Katten |
| Nov 2 2015 |
Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) |
Katten |
| Jan 17 2024 |
Neither a Borrower Nor a Lender Be! |
Katten |
| Jan 24 2020 |
CFTC to Hold an Open Commission Meeting on January 30 |
Katten |
| Apr 22 2016 |
Federal Reserve to Expand Off-Site Examinations |
Katten |
| Apr 22 2016 |
SEC Releases Registration Fee Estimator |
Katten |
| Apr 8 2013 |
Federal Reserve Board Approves Final "Predominately Engaged in Financial Activities" Rule |
Katten |
| Apr 17 2015 |
OCC Revises Guidance and Forms for Subordinated Debt Issued for Tier 2 Capital and Non-Capital Purposes |
Katten |
| Nov 6 2015 |
CME Group Issues Notice Related to Employee Supervision |
Katten |
| Apr 13 2018 |
SEC Confirms Record Retention Requirements With Third-Party Recordkeeping Services |
Katten |
| May 1 2020 |
SEC COVID-19: Broker-Dealer Financial Responsibility & Cross-Div. Market Monitoring |
Katten |
| Oct 2 2020 |
CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule & Holding Open Commission Meeting on October 6 |
Katten |
| Nov 11 2016 |
CFTC Amends Filing Requirements for FCM and SD CCO Annual Reports |
Katten |
| Sep 26 2014 |
CFTC Provides Time-Limited Relief to SEFs for Block Trades |
Katten |
| Apr 27 2015 |
Bridging the Week: April 20 to 24 and 27, 2015 (CFTC-SEC Merger, Spoofing, LIBOR Manipulation, Bitcoin, Exchange Non-Member Cooperation) |
Katten |
| Nov 2 2017 |
SEC Issues Important Interpretive Guidance on Implications of "Unbundling" the Costs of Investment Research from the Costs of Trade Execution, Mandated by EU Requirements |
Katten |
| Feb 1 2014 |
Commodity Futures Trading Commission (CFTC) Certifies Available-to-Trade Determinations |
Katten |
| Oct 9 2020 |
FINRA Requests Amendment Comments & Phishing Alert |
Katten |
| Oct 3 2014 |
Financial Industry Regulatory Authority, Inc (FINRA) Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System |
Katten |
| May 6 2016 |
Federal Financial Institutions Examination Council (FFIEC) Proposes New Consumer Compliance Rating System |
Katten |
