| Oct 14 2016 |
FCA Publishes Discussion Paper on Firms’ Legal Function Under the Senior Managers Regime |
Katten |
| Mar 18 2013 |
FINRA (Financial Industry Regulatory Authority) Amends Rules to Address Extraordinary Market Volatility |
Katten |
| Dec 20 2013 |
Federal Financial Regulators Extend Comment Period for Proposed Policy Statement on Assessing Diversity Policies and Practices of Regulated Entities |
Katten |
| Jul 17 2023 |
Four Things to Know About Family Office Compensation and Talent |
Katten |
| Oct 22 2016 |
SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to Pay Ratio Disclosure Rule |
Katten |
| Jan 3 2014 |
Commodity Futures Trading Commission (CFTC) Issues Advisory Concerning Commodity Trading Advisors and Swaps |
Katten |
| Jan 31 2023 |
SEC Delays Enforcement of Rule 15c2-11 Compliance |
Katten |
| Apr 1 2013 |
Consumer Financial Protection Bureau (CFPB) Finalizes ATM Disclosure Rule Changes |
Katten |
| Oct 30 2015 |
SEC Issues Guidance on Rule 14a-8(i)(9) and Rule 14a-8(i)(7) |
Katten |
| Dec 7 2018 |
SEC Proposed Rule Changes To Nasdaq Rule and Adopts New Securities Act Rule |
Katten |
| Jan 11 2014 |
Commodity Futures Trading Commission (CFTC) Requests Comment on Staff Advisory Regarding the Applicability of Transaction Level Requirements |
Katten |
| Jan 31 2020 |
OCIE Provides Observations on Cybersecurity and Operational Resiliency Best Practices |
Katten |
| Apr 6 2013 |
Consumer Financial Protection Releases Public Complaint Database |
Katten |
| Jan 20 2014 |
Agencies Retreat on Trust Preferred Securities (TruPS CDOs) |
Katten |
| Apr 13 2018 |
FINRA Proposed a Rule Change With Respect to the Establishment of a Second Trade Reporting Facility |
Katten |
| Aug 29 2022 |
SEC Proposes to Clear-Up Clearing Agencies' Governance to Mitigate Directors' Potential Conflicts of Interest |
Katten |
| Apr 16 2018 |
Bridging the Week by Gary DeWaal: April 9 to 13 and April 16, 2018 (Disruptive Trading; Spoofing; Supreme Court Appeal) [VIDEO] |
Katten |
| Mar 8 2021 |
ESG Is in the (SEC) House: SEC Exams, Enforcement and Regulations are Coming |
Katten |
| Nov 16 2015 |
SEC Chastised; Cybersecurity; Hacking; Supervision; Compliance Outsourcing; the Cloud - Bridging the Week: November 9 - 13 and 16, 2015 [VIDEO] |
Katten |
| Nov 13 2017 |
Bridging the Weeks: October 30 – November 10 and November 13, 2017 (Initial Coin Offerings; Price Disclosure; Wash Sales; Audit Trails) |
Katten |
| Oct 9 2020 |
NFA Issues Notice on Expiration of Temporary Relief from Fingerprinting Requirements |
Katten |
| Oct 10 2020 |
CFTC Announces Open Commission Meeting to Consider Final Rules on Margin Requirements for Uncleared Swaps, Registration Exemptions for Foreign Intermediaries and Derivative Position Limits |
Katten |
| Nov 21 2015 |
CFTC To Hold Open Commission Meeting on Automated Trading |
Katten |
| Jul 1 2019 |
SEC Adopts Additional Rules for Security-Based Swaps |
Katten |
| Feb 9 2014 |
SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - Securities and Exchange Commission |
Katten |
| May 8 2020 |
SEC Orders Submission of New NMS Plan |
Katten |
| Mar 7 2022 |
Attorney General Garland Announces Renewed and Expanded Focus on Prosecuting Corporate Crime and Executives |
Katten |
| Mar 19 2021 |
CFTC Acting Chairman Announces New Climate Risk Unit |
Katten |
| May 5 2017 |
SEC Grants No-Action Relief Regarding Created ETF Shares and Failure to Close Transactions |
Katten |
| Oct 23 2020 |
SEC Adopts Amendments to Modernize Auditor Independence Rules |
Katten |
| Jan 22 2019 |
Bridging the Week by Gary DeWaal: January 14 – 18 and January 22, 2019 (Hacking at the SEC; Digital Assets; Spoofing) [Video] |
Katten |
| May 13 2016 |
SEC Deputy Chief Accountant Discusses Use of Non-GAAP Measures |
Katten |
| May 12 2017 |
US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3 |
Katten |
| Apr 20 2013 |
Department of Justice Narrows "Carve Out" Practice Regarding Corporate Plea Agreements |
Katten |
| Dec 2 2016 |
NFA Proposes Changes to Forex Customer Disclosure Requirements |
Katten |
