| Sep 22 2017 |
SEC Division of Corporation Finance Issues New C&DIs on “Regulation A+” |
Katten |
| Nov 7 2013 |
Commodity Futures Trading Commission (CFTC) Proposes Revised Aggregation Rules |
Katten |
| Mar 21 2016 |
Bridging the Week: March 14 - 18, and 21, 2016 (Regulation AT; Equivalence Recognition; Fund Manager Misstatements; Conflicts of Interest; Trade Options) |
Katten |
| Dec 13 2019 |
SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants |
Katten |
| Feb 26 2013 |
Southern District of New York (SDNY) Favors the Securities & Exchange Commission (SEC) in Foreign Corrupt Practices Act Action Involving Novel Issues of Statutory Interpretation |
Katten |
| Sep 4 2020 |
CFTC No-Action Letter 20-24: CFTC Provides Relief from the Trade Execution Requirement |
Katten |
| Mar 3 2013 |
Supreme Court Ruling Lowers Class Action Hurdle for Securities Fraud Cases |
Katten |
| Mar 28 2016 |
Bridging the Week: March 21 - 25, and 28, 2016 (Spoofing; Position Limits; FINRA Authority; Large Trader Reports; Algorithmic Trading) |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Announces Weekly Swaps Report |
Katten |
| Mar 24 2017 |
SEC Adopts Amendment to Shorten Settlement Cycle for Securities Transactions |
Katten |
| Nov 19 2018 |
Bridging the Week by Gary DeWaal: November 12 - 16 and November 19, 2018 (New Employee Orientation; Whistleblowing; ICOs and SEC Path Forward) |
Katten |
| Mar 11 2013 |
SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers |
Katten |
| Dec 6 2013 |
SEC Division of Corporation Finance Issues 14 New Compliance and Disclosure Interpretations (C&DIs) Relating to “Bad Actor” Rules |
Katten |
| Sep 18 2020 |
CFTC Staff Provides No-Action Relief to Registrant from SEF Reinstatement Requirements |
Katten |
| Aug 15 2022 |
Broker-Dealer Proprietary Trading Groups: FINRA May Be In Your Future |
Katten |
| Mar 30 2015 |
Department of Interior Releases Revised Rules on Hydraulic Fracturing on Federal and Indian Lands |
Katten |
| Mar 17 2013 |
FINRA (Financial Industry Regulatory Authority) Changes Membership Application Fees |
Katten |
| Apr 8 2016 |
FDIC Rescinds De Novo Time Period Extension |
Katten |
| Mar 20 2013 |
The Alternative Investment Fund Managers Directive – How Does It Affect Non-EU Managers? |
Katten |
| Aug 18 2022 |
Federal Reserve's New Master Account Guidelines Provide Transparent Path For Crypto Industry |
Katten |
| Oct 24 2016 |
Bridging the Week: October 17 to 21 and October 24, 2016 (Floor Trader Registration; Source Code; Soliciting From Abroad; Liability May Not Equal Fines) [VIDEO] |
Katten |
| Oct 21 2017 |
Three Developments Concerning EU-US Cross-Border Swaps |
Katten |
| Dec 21 2013 |
Agencies Issue Proposed Guidance on Tax Allocation Agreements Between Insured institutions and Their Holding Companies |
Katten |
| Dec 7 2018 |
NFA Proposes To Amend Interpretive Notice on Information Systems Security Programs |
Katten |
| Mar 30 2013 |
Flood Insurance Changes |
Katten |
| Sep 6 2014 |
Banking Agencies Adopt Supplementary Leverage Ratio Final Rule |
Katten |
| Jan 5 2014 |
Commodity Futures Trading Commission (CFTC) Extends Relief from Oral Communication Recording Requirements |
Katten |
| Dec 16 2018 |
NFA Proposes Amendments Incorporating Swaps into Compliance Rules and Interpretive Notices; NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems |
Katten |
| Jan 23 2024 |
SEC’s Spring 2023 Rulemaking Agenda: Spotlight on Investment Advisers, Broker-Dealers and Certain Funds |
Katten |
| Apr 5 2013 |
Thomas J. Curry Named Federal Financial Institutions Examination Council (FFIEC) Chairman |
Katten |
| Jan 12 2014 |
SEC Division of Corporation Finance Issues Five Additional Compliance and Disclosure Interpretations (C&DI) Relating to “Bad Actor” Rule |
Katten |
| Apr 15 2018 |
Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits |
Katten |
| Apr 26 2016 |
Launch of New Generic Top Level Domains .store and .shopping |
Katten |
| Dec 20 2018 |
FINRA Publishes Its Annual Report on Examination Findings |
Katten |
| Jan 19 2014 |
Commodity Futures Trading Commission (CFTC) Issues No-Action Relief to Futures Commission Merchants (FCM) Relating to Enhanced Customer Protection Rules |
Katten |
