| Nov 8 2014 |
SEC Charges Former Pharmaceutical Executive and Close Friend With Insider Trading |
Katten |
| Dec 18 2015 |
SEC Division of Corporation Finance Issues New CDIs on Fixing America’s Surface Transportation Act |
Katten |
| Jun 19 2015 |
CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs: Commodity Futures Trading Commission |
Katten |
| Dec 21 2015 |
DOJ and DOL Expand and Promote Worker Endangerment Initiative |
Katten |
| Nov 12 2014 |
FINRA's (Financial Industry Regulatory Authority) New Consolidated Supervision Rules: A Roadmap to Compliance |
Katten |
| Aug 30 2019 |
CFTC Seeks Nominations and Public Comment on Priorities for the Energy and Environmental Markets Advisory Committee |
Katten |
| Dec 11 2020 |
CFTC Approves Final Rules Regarding Electronic Trading Risk Principles and Bankruptcy Regulations & Organizational Changes |
Katten |
| Jun 28 2016 |
Structuring Equity Interests for Independent Sponsors |
Katten |
| Apr 11 2014 |
CFTC (Commodity Futures and Trading Commission) Reissues and Clarifies Relief Regarding Swaps Trading on MTFs (Multilateral Trading Facilities) |
Katten |
| Jun 30 2013 |
Federal Reserve to Vote on Final Capital Rules |
Katten |
| Jun 29 2015 |
Eight Key Estate Planning Opportunities Arising from the Supreme Court's Decision on Same-Sex Marriage |
Katten |
| May 5 2022 |
SEC Proposes Climate-Related Disclosure Requirements |
Katten |
| Apr 18 2014 |
SEC (Securities and Exchange Commission) Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access |
Katten |
| Jul 2 2015 |
Recent US Supreme Court Decision Impacts Affordable Housing Industry |
Katten |
| Jan 9 2016 |
CFTC Reminds SDs and MSPs of Swap Reporting Obligations |
Katten |
| May 14 2021 |
CFTC Announces Energy and Environmental Markets Advisory Committee Meeting |
Katten |
| Jul 21 2018 |
CFTC Issues Customer Advisory on Digital Coins and Tokens |
Katten |
| Jul 15 2013 |
SEC Announces Three New Anti-Fraud Enforcement Initiatives |
Katten |
| Jun 26 2020 |
NFA Sets Effective Date for Rule Amendments Related to NFA’s Penalties and Disciplinary Procedures |
Katten |
| Jan 8 2018 |
Bridging the Weeks: December 18, 2017 – January 5 and January 8, 2018 (Self-Certification; NY BitLicenses; Texas C&D; Trading Adverse to Employer) |
Katten |
| Dec 13 2014 |
SEC Sanctions Operator of Unregistered Virtual Currency Exchanges |
Katten |
| Jul 13 2015 |
Bridging the Week [VIDEO]: July 6-10 and 13, 2015 (MF Global; John Corzine; Money Passes; REMIT; G-IBs) |
Katten |
| Jan 19 2016 |
SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries |
Katten |
| Dec 15 2014 |
Insider Trading, Sentinel, Punitive Capital Hit Stay, Investment Funds Portfolio Composition Risk, Auditor Independence (or Not): Bridging the Week: December 8 to 12 and 15, 2014 |
Katten |
| Jul 14 2017 |
CFTC Announces Review of Swaps Reporting Regulations |
Katten |
| Dec 19 2014 |
FINRA Proposes Rule Change to Codify Reporting Requirement for Accounts Acting in Concert |
Katten |
| Jan 22 2016 |
"Implementation Day" Brings Openings for Commercial Aircraft Sales With Iran |
Katten |
| Dec 6 2022 |
December 9 Looms as Compliance Date for Private Investment Funds and Certain Investment Advisers to Comply With New Cybersecurity Requirements |
Katten |
| Aug 10 2018 |
NFA Announces the Effective Date of Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities |
Katten |
| Jan 20 2017 |
Commodity Futures Trading Commission Grants Order to LCH |
Katten |
| Mar 13 2019 |
Electing Out of the New Partnership Rules |
Katten |
| Aug 6 2013 |
Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations |
Katten |
| May 16 2014 |
Commodity Futures Trading Commission (CFTC) Staff Announces Streamlined No-Action Relief Process for Certain CPOs (Commodity Pool Operators) |
Katten |
| Aug 20 2018 |
Bridging the Week by Gary DeWaal: August 13 to 17 and August 20, 2018 (ICO Halted; Misappropriation of Client Funds Not Halted; Rogue Trading) |
Katten |
| Mar 15 2019 |
Report from FINRA Board of Governors Meeting: Board Approves Rule Proposals, Engages with Boca Raton-Area Firms |
Katten |
