| Apr 17 2021 |
SEC Approves Amendments to NYSE Shareholder Approval Rules for Certain Equity Issuances and Requirements for Related Party Transactions |
Katten |
| Mar 28 2014 |
Securities & Exchange Commission (SEC) Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks |
Katten |
| Jun 5 2020 |
CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports |
Katten |
| Apr 23 2021 |
FINRA Reminds Members About Requirements When Using Predispute Arbitration Agreements for Customer Accounts |
Katten |
| Jun 17 2013 |
Office of the Comptroller of the Currency (OCC) Adjusts Policy Statement to Facilitate Capital Raising by Minority Institutions |
Katten |
| Nov 14 2014 |
Major Breakthrough in the Chinese Information Technology Agreement Expansion Talks |
Katten |
| Sep 6 2019 |
NFA Amends CPO and CTA Performance Reporting and Disclosure Requirements |
Katten |
| Jun 23 2017 |
CFTC Revisions to Freedom of Information Act Regulations |
Katten |
| May 7 2021 |
CFTC Issues No-Action Response Letter; Order of Registration to Mercado Mexicano de Derivados |
Katten |
| Jan 6 2017 |
CFTC Staff Issues Time-Limited No-Action Relief for Derivatives Clearing Organizations and Other Reporting Entities From Certain Obligations on Cleared Swap Reporting |
Katten |
| Dec 18 2020 |
CFTC Extends Temporary No-Action Relief From Trade Execution Requirement for Certain Affiliated Counterparties |
Katten |
| Oct 24 2023 |
Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry |
Katten |
| Jan 10 2017 |
EPA Issues Final Guidance on Modifying the Timeframe for Hazardous Waste Management Unit Post-Closure Care |
Katten |
| Oct 26 2023 |
Cybersecurity Awareness Dos and Donts Refresher |
Katten |
| Jul 19 2013 |
Commodity Futures Trading Commission (CFTC) Seeks Public Comment on Wash Trade Advisory |
Katten |
| Dec 19 2014 |
CME Issues Revisions to Wash Trade Advisory Notice |
Katten |
| Jul 7 2017 |
SEC Expands Nonpublic Review of Draft Registration Statements |
Katten |
| Jan 13 2017 |
NFA Issues Notice to Members Regarding CPO/CTA Exemption Affirmations |
Katten |
| Jul 17 2015 |
SEC Brings Complaint in $68 Million Affinity Fraud Scheme |
Katten |
| Mar 8 2019 |
NFA Proposes Amendments to Bylaw 301, Compliance Rule 2-24 and Related Interpretive Notice |
Katten |
| Jan 5 2015 |
Disruptive Trading, Block Trades, Customer Protection, NDF Clearing, MF Global: Bridging the Weeks: December 22, 2014, to January 2 and 5, 2015 [VIDEO] |
Katten |
| May 28 2021 |
Effective Date for NFA Member Swap Dealer and Major Swap Participant Dues Increases |
Katten |
| Jan 29 2016 |
CFTC and German Regulators Sign Memorandum of Understanding |
Katten |
| Aug 12 2013 |
Commodity Futures Trading Commission’s (CFTC) Releases Rule Enforcement Review of the Chicago Mercantile Exchange and Chicago Board of Trade |
Katten |
| Aug 5 2016 |
FINRA Adopts Amendments on Resumption of Trading |
Katten |
| Jan 12 2018 |
CFTC Approves Amendments to Commission Regulations Under Parts 3 and 9 |
Katten |
| May 24 2014 |
CME Launches Website Links for Complaints and Self-Reports |
Katten |
| Mar 26 2020 |
The COVID-19 Pandemic: Impacts on Real Estate Transactions |
Katten |
| Feb 5 2016 |
OCC Releases Dodd-Frank Stress Test Scenarios for 2016 |
Katten |
| Nov 15 2023 |
Back to the Future: CFTC Proposes to Amend Customer Funds Investment Rule Including to Again Permit Investments in Certain Non-US Sovereign Debt |
Katten |
| Dec 8 2012 |
CFTC Grants Temporary No-Action Relief from Clearing Requirement for Swaps Between Affiliated Counterparties |
Katten |
| Aug 7 2015 |
FINRA Proposes Rule Governing Personal Securities Transactions of Associated Persons |
Katten |
| Dec 11 2012 |
SEC Accountants Speak at AICPA Conference |
Katten |
| Aug 24 2018 |
President Trump Asks SEC To Explore Replacing Quarterly Reporting With Half-Yearly Reporting |
Katten |
| May 1 2024 |
Gone Phishing – Vigilance in the New Scam Era |
Katten |
