| Oct 28 2017 |
CFTC Extends Swap Dealer De Minimis Threshold Until December 2019 |
Katten |
| Apr 1 2013 |
Consumer Financial Protection Bureau (CFPB) Finalizes ATM Disclosure Rule Changes |
Katten |
| Jan 6 2014 |
Commodity Futures Trading Commision (CFTC) Issues No-Action Relief Regarding Annual Reports by Chief Compliance Officers |
Katten |
| Apr 14 2017 |
NFA Issues Notice Regarding Updated FinCEN AML/CFTC Guidance |
Katten |
| Jan 31 2020 |
OCIE Provides Observations on Cybersecurity and Operational Resiliency Best Practices |
Katten |
| Oct 2 2020 |
SEC Staff to Host Roundtable on Regulation Best Interest and Form CRS on October 26 |
Katten |
| Sep 13 2014 |
Commodity Futures Trading Commission (CFTC) Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs |
Katten |
| Apr 6 2013 |
Consumer Financial Protection Releases Public Complaint Database |
Katten |
| Apr 23 2015 |
Between Bridges by Gary DeWaal: London-Based Futures Trader Arrested, Sued by CFTC and Criminally Charged With Contributing to the May 2010 “Flash Crash” Through Spoofing |
Katten |
| Nov 13 2015 |
NFA Issues Notice to CPOs and CTAs Regarding EasyFile Logistics for CTA FORM PR and CPO Form PQR |
Katten |
| Mar 8 2021 |
ESG Is in the (SEC) House: SEC Exams, Enforcement and Regulations are Coming |
Katten |
| Aug 2 2023 |
Mallory v. Norfolk Southern Railway Co.: Supreme Court Recognizes Existence of Consent-Based Theory of General Personal Jurisdiction |
Katten |
| Feb 13 2023 |
New ASTM Standard for Phase I Environmental Site Assessments Takes Legal Effect: What This Means for Scoping Due Diligence |
Katten |
| Mar 3 2022 |
Client Alert: Proposed SEC Rules for Investment Advisers and Regulated Funds, and New FTC Safeguard Rule Applicable to Private Funds |
Katten |
| Apr 23 2018 |
Bridging the Week: April 16 to 20 and April 23, 2018 (Actual Delivery, Manipulative or Deceptive Devices; NY AG Sweep; ATS Breakdown) [VIDEO] |
Katten |
| Apr 28 2017 |
CFTC Extends Relief to CTAs With Third-Party Recordkeepers |
Katten |
| Oct 16 2020 |
Federal Reserve Begins Census of Commercial Lenders |
Katten |
| May 1 2015 |
CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties |
Katten |
| Mar 12 2021 |
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption |
Katten |
| May 8 2020 |
FINRA and NASAA Report Progress Towards May 24 Launch of Online Testing |
Katten |
| Jan 31 2014 |
National Futures Association (NFA) Members Must Provide Suspicious Activity Reports to NFA Upon Request |
Katten |
| Nov 20 2017 |
2017 Year-End Estate Planning Advisory-November 20, 2017 |
Katten |
| May 5 2017 |
CFTC Proposes Amendments to Certain Rules Governing CCO Duties and Annual Reports |
Katten |
| May 2 2018 |
IBLA Reverses BSEE Incident of Noncompliance; Upholds Operator's Right to Determine Scope of Crane Inspections |
Katten |
| May 15 2015 |
FINRA’s National Adjudicatory Council Strengthens Sanction Guidelines Related to Fraud and Suitability |
Katten |
| Feb 28 2020 |
FINRA Reminds Member Firms of Their Supervision Responsibilities of UTMA and UGMA Accounts |
Katten |
| Sep 27 2022 |
Federal Trade Commission Releases Guidance to Merchants That Offer Buy Now/Pay Later (BNPL) Options to Customers |
Katten |
| May 18 2015 |
CFTC Chairman Discloses Second Phase of Regulatory Review Before Senate Committee; Commissioner Giancarlo Questions Position Limits Proposal Before EnergyRisk Summit |
Katten |
| Dec 9 2016 |
CFTC Re-Proposes Minimum Capital Requirements for Swap Dealers and Major Swap Participants |
Katten |
| Oct 30 2020 |
ISDA Publishes IBOR Fall Back Supplement and Related Protocol |
Katten |
| Sep 28 2022 |
Is the Metaverse a Giant 'Native Advertisement'? |
Katten |
| Dec 12 2016 |
Bridging the Week: Dec 5 to 9 and Dec 12, 2016 (Position Limits; Aggregation; Owned Entity Exemption; Insider Trader; Manipulation) |
Katten |
| Jan 23 2019 |
FAA Rules for Drone Flights Over People and at Night |
Katten |
| Apr 15 2013 |
Commodity Futures Trading Commission (CFTC) Issues Proposed Rule to Clarify Responsibilities of Clerical Employees of Swap Dealers and Major Swap Participants |
Katten |
| Nov 6 2020 |
New FAQs Published Regarding the Post-Trade Name Give-Up Rule in CFTC Regulation 37.9(d) |
Katten |
