| Sep 23 2015 |
The Department of Justice's Focus on Individual Accountability for Corporate Wrongdoing |
Katten |
| Jan 10 2023 |
Regulators and Law Enforcement are Closely Monitoring the Crypto Sector |
Katten |
| Aug 3 2022 |
BIS Identifies First Foreign-Produced Commercial Aircraft Exported to Russia in Apparent Violation of US Export Controls |
Katten |
| Oct 7 2016 |
SEC Staff No Longer Requires “Tandy” Representations in Filing Reviews |
Katten |
| Oct 8 2016 |
CFTC and UK Financial Conduct Authority Sign Memorandum of Understanding |
Katten |
| Nov 16 2013 |
Commodity Futures Trading Commission (CFTC) Issues Cross-Border Transactions Advisory |
Katten |
| Apr 16 2020 |
Revising Initial Expectations: CFTC Proposes Substantial Amendments to Form CPO-PQR and Related Requirements |
Katten |
| Oct 2 2015 |
FINRA Provides Guidance on Liquidity Risk Management Practices |
Katten |
| Feb 11 2021 |
Game On: Are New Opportunities Opening Up for Brands to Use Student Athletes’ Name, Image and Likeness Rights? |
Katten |
| Aug 1 2014 |
Amendments to FINRA Rule 2210 Regarding Communications With the Public |
Katten |
| Feb 12 2021 |
CFTC Announces Market Risk Advisory Committee Meeting February 23 |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations |
Katten |
| Mar 17 2017 |
CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal |
Katten |
| Sep 4 2020 |
CFTC No-Action Letter 20-25: CFTC Provides Time-Limited Relief from the Swap Clearing Requirement |
Katten |
| Feb 16 2021 |
Top Ten Legal Considerations for Use and/or Development of Artificial Intelligence in Health Care |
Katten |
| Mar 16 2013 |
Futures Commission Merchants "FCMs" Required to Have Chief Compliance Officer by March 29 |
Katten |
| Nov 27 2013 |
Bitcoin: Current US Regulatory Developments |
Katten |
| Oct 4 2017 |
Bridging the Week by Gary DeWaal: September 18 to 22 and September 25, 2017 (My Affiliate’s Keeper?; CFTC Flexes Cryptocurrency Muscle; Can SEC Keep a Secret?) |
Katten |
| May 24 2019 |
Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs |
Katten |
| Aug 8 2014 |
SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley |
Katten |
| Apr 8 2016 |
Commodity Futures Trading Commission Proposes Guidance on Electric Power and Natural Gas Contracts |
Katten |
| Feb 19 2021 |
FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Fees and Certain Arbitration Fees |
Katten |
| Dec 8 2013 |
Trade Associations File Lawsuit Over CFTC’s (Commodity Futures Trading Commission's) Cross-Border Guidance |
Katten |
| Mar 27 2017 |
Bridging the Week: March 20 - 24 and March 27 (SARs and Red Flags; International Spoofing; Pre-Execution Discussions; Making Capital Markets Great Again) |
Katten |
| Mar 31 2013 |
SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers |
Katten |
| Apr 24 2020 |
CFTC Grants Relief to Address Net Capital Treatment of PPP Monies and FINRA Annual Assessments |
Katten |
| Apr 24 2020 |
NFA Published Amendments to Its Advertising Rules |
Katten |
| Apr 7 2013 |
Commodity Futures Trading Commission Approves Clearing Exemption for Inter-Affiliate Swaps |
Katten |
| Jun 7 2019 |
CFTC Announces Climate-Related Agenda for June 12 Public Meeting |
Katten |
| Dec 22 2013 |
Securities and Exchange Commission (SEC) Proposes Rules for “Regulation A+” Offerings |
Katten |
| Apr 27 2020 |
Hope for the Best but Prepare for the Worst — Steps to Take If You are Worried About the Effects of the Pandemic on Your ISDA Counterparty |
Katten |
| Apr 22 2016 |
Financial Regulatory Agencies to Issue New Proposed Compensation Rules |
Katten |
| Jan 6 2014 |
Commodity Futures Trading Commision (CFTC) Issues No-Action Relief Regarding Annual Reports by Chief Compliance Officers |
Katten |
| Sep 13 2014 |
Commodity Futures Trading Commission (CFTC) Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs |
Katten |
| Apr 17 2015 |
OCC Issues New Handbook on Deposit-Related Consumer Credit |
Katten |
