| Jun 11 2020 |
Structuring Acquisitive Transactions in Difficult Times |
Katten |
| Dec 7 2020 |
SEC Adopts Amendments to MD&A and Other Financial Disclosures |
Katten |
| Jul 9 2018 |
Employment Matters – June 2018 |
Katten |
| Dec 7 2014 |
NFA Proposes Amendment to NFA Compliance Rule 2-4 |
Katten |
| Dec 11 2020 |
NFA Issues Notice to Members Regarding Compliance Date Swaps Proficiency Requirements |
Katten |
| Apr 11 2014 |
SEC (Securities and Exchange Commission) Obtains Settlement for Violations of Registration Rules and “Layering” |
Katten |
| Jul 13 2015 |
CFTC Requests Comments on Petition for Exemption from DCO Registration by OTC Clearing Hong Kong Limited |
Katten |
| Jan 6 2017 |
FINRA Publishes 2017 Regulatory and Examination Priorities Letter |
Katten |
| Jun 19 2020 |
SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS |
Katten |
| Nov 19 2021 |
Five Commercial Real Estate Trends to Watch in the Wake of COVID-19 |
Katten |
| Jan 8 2016 |
Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units |
Katten |
| Jul 10 2016 |
CFTC Releases Results of CBOE Futures Exchange Rule Enforcement Review |
Katten |
| Jul 20 2018 |
SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems |
Katten |
| Dec 19 2014 |
Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules |
Katten |
| Apr 25 2014 |
CME Group Inc. Launches Exchange Action Database re: Futures and Options Exchanges |
Katten |
| Dec 21 2014 |
OCC Issues Bank Accounting Advisory Series Update |
Katten |
| Jul 17 2015 |
FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules |
Katten |
| Jan 5 2018 |
FINRA Proposes To Extend the Expiration Date of FINRA Rule 0180 |
Katten |
| Jul 16 2013 |
Commodity Futures Trading Commission (CFTC) Grants No-Action Relief to Swap Dealers and Major Swap Participants Regarding Relationship Documentation and Business Conduct |
Katten |
| Jun 26 2020 |
SEC Antitrust Memo; Chairman Speaks on Equity Market Structure; FINRA CAB Suitability |
Katten |
| May 2 2014 |
Securities and Exchange Commission (SEC) Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule |
Katten |
| Jan 12 2015 |
CFTC Staff Extends No-Action Relief for Certain FCMs from Receipt of Depository Acknowledgment Letters |
Katten |
| Nov 1 2023 |
New FTC Rule Requires Certain Financial Institutions to Report Loss of Unencrypted Customer Data |
Katten |
| Aug 17 2018 |
CFIUS Jurisdiction Expansion and FINRA Regulatory Notice on ATS Supervision Obligations |
Katten |
| Nov 24 2012 |
SEC and Department of Justice Release Detailed FCPA Resource Guide |
Katten |
| Jul 30 2017 |
Volcker Rule Developments |
Katten |
| Oct 18 2019 |
SEC Announces the Formation of Asset Management Advisory Committee |
Katten |
| Jan 23 2015 |
SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals |
Katten |
| Aug 16 2013 |
Chicago Mercantile Exchange (CME) Amends Electronic Audit Trail Requirements |
Katten |
| Mar 27 2020 |
Regulatory Relief Issued for CPOs and CTAs |
Katten |
| Aug 4 2017 |
FINRA and SIPC Agree To Streamline the Annual Report Filing Process for Broker-Dealers |
Katten |
| Mar 22 2019 |
FINRA Issues Guidance on FOCUS Reporting for Operating Leases |
Katten |
| Aug 23 2013 |
Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also Adopts Changes Applicable to All CPOs |
Katten |
| Feb 3 2017 |
FINRA and ISG Update Electronic Blue Sheet Data Elements |
Katten |
| Aug 25 2013 |
Federal Agencies Seek to Bolster Leverage Ratio Standards for Largest Banks |
Katten |
