| Dec 3 2012 |
CFTC Grants Temporary No-Action Relief from Swap Data Reporting Rules |
Katten |
| May 30 2014 |
Commodity Futures Trading Commission (CFTC) Grants Recordkeeping Relief for Certain Swap Execution Facility (SEF) and Designated Contract Market (DCM) Members |
Katten |
| Feb 12 2016 |
CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting |
Katten |
| Aug 19 2016 |
The Committee on Payments and Market Infrastructures and International Organization of Securities Commissions Publish Report on CCP Resiliency Planning |
Katten |
| Aug 31 2013 |
IRS Will Recognize All Marriages of Same-Sex Couples if Valid Where Performed |
Katten |
| Mar 30 2019 |
CFTC Small Business Rule and Brexit Provisions |
Katten |
| May 31 2023 |
Bored Ape Yacht Club NFT Drama Isn’t Boring At All |
Katten |
| Jan 8 2021 |
Elad Roisman Named Acting Chairman of SEC |
Katten |
| Mar 31 2020 |
The CARES Act From a Health CARE Perspective |
Katten |
| Jun 8 2014 |
New Commodity Futures Trading Commission (CFTC) Commissioners Confirmed; Chairman Sworn In |
Katten |
| Dec 22 2012 |
CFTC Approves Final Rule Requiring Recording of Oral Communications |
Katten |
| Feb 22 2016 |
Bridging the Week: February 15 – 19 and 22, 2016 (Culture; False Documents; Home Court Advantage; Trade Options; Automated Trading Systems) |
Katten |
| Aug 18 2017 |
CFTC Suspends Need of Formal Notice for Position Disaggregation Relief |
Katten |
| Apr 7 2019 |
CFTC Issues No-Action Relief for Prime Brokerage Trading on SEFs |
Katten |
| Jul 24 2020 |
OCC Publishes Proposed Rule Regarding “True Lender” |
Katten |
| Jan 11 2013 |
Institutional Shareholder Services "ISS" Publishes Updated FAQs for its Proxy Voting Policies |
Katten |
| Sep 2 2016 |
CFTC Extends Comment Period For Proposed Amendments to CPO Annual Report Regulation |
Katten |
| Jul 29 2020 |
Initial Margin Guidance for US Swap End Users |
Katten |
| Aug 31 2015 |
FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers |
Katten |
| Aug 25 2017 |
FINRA Proposes Rule Change to Subject Capital Acquisition Brokers to Pay-to-Play Rules |
Katten |
| Jun 21 2014 |
Securities and Exchange Commission (SEC) Releases Guidance on Affiliated Transactions of Series Investment Companies |
Katten |
| Dec 27 2022 |
SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies |
Katten |
| Sep 12 2016 |
Bridging the Week: Financial Ratios Whistleblowing, Volcker II, Comparable Margin, Layering [VIDEO] |
Katten |
| Feb 21 2015 |
National Futures Association (NFA) Notifies SDs and MSPs of Annual Questionnaire Requirements |
Katten |
| Mar 4 2016 |
Enhanced Price Disclosures for Certain Retail Customers Approved by FINRA |
Katten |
| Sep 1 2017 |
SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements |
Katten |
| Nov 22 2019 |
FINRA Proposes Limitations on Serving as a Customer’s Beneficiary |
Katten |
| Feb 23 2015 |
AML; Block Trades; EFRPs; Conflicts; Insider Trading - Bridging the Week: February 16 to 20 and 23, 2015 [VIDEO] |
Katten |
| Oct 11 2018 |
SEC Charges Broker-Dealer/Adviser With Inadequate Cybersecurity Procedures |
Katten |
| Jan 26 2013 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on "Futurization" of Swaps |
Katten |
| Oct 13 2013 |
Office of the Comptroller of the Currency (OCC) Updates Bank Accounting Advisory Series |
Katten |
| Sep 11 2015 |
NFA To Host Audio Conference for SDs and MSPs |
Katten |
| Sep 17 2016 |
CFTC Chairman Proposes Extension of Phase-In De Minimis Amount Termination Date |
Katten |
| Jan 22 2021 |
Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Examinations |
Katten |
| Oct 19 2013 |
SEC Scores in Accounting Fraud Suit Against BankAtlantic Corp. and Former CEO |
Katten |
