| May 12 2017 |
Hinman Named Director of Division of Corporation Finance |
Katten |
| Apr 13 2013 |
SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft |
Katten |
| May 15 2017 |
Global Ransomware Attack Serves as Reminder of Good Practices |
Katten |
| Jan 18 2019 |
SEC and New Jersey US Attorney’s Office Bring Parallel Charges in EDGAR Hacking Scheme |
Katten |
| Jul 12 2019 |
CFTC and Financial Services Agency of Japan Issue Joint Statement on Comparability of Derivatives Trading Venues |
Katten |
| Apr 22 2013 |
Agencies Provide Additional Instructions for Submission of Resolution Plans and Extend Deadline |
Katten |
| Jul 13 2019 |
FATF Publishes Updated Standards Include Interpretative Note on Virtual Assets |
Katten |
| May 15 2015 |
CFTC Requests Public Comment on Nodal Clear’s DCO Application |
Katten |
| Mar 3 2014 |
SEC Issues Guidance on Aggregate Advisory Fee Rates for Multi-Manager Funds - Securities and Exchange Commission |
Katten |
| Dec 8 2017 |
CFTC Releases Rule Enforcement Review of the Chicago Board of Trade, Chicago Mercantile Exchange, Commodity Exchange, Inc. and New York Mercantile Exchange, Inc. |
Katten |
| May 20 2016 |
CFTC Issues Residual Interest Deadline Report |
Katten |
| May 18 2018 |
CFTC Open Access to Markets & Relief in Swap-Dealer Agreements |
Katten |
| Nov 10 2020 |
Mirror, Mirror on the Wall, Who’s the Fairest of Them All? AR Retailing in the 21st Century |
Katten |
| Oct 12 2022 |
US Moves to Seize Aircraft for Apparent Violation of Export Controls |
Katten |
| Mar 6 2020 |
SEC Proposes Rule Changes to Harmonize and Simplify Offering Exemptions |
Katten |
| Jul 20 2019 |
FINRA Announces Final Results of Mutual Fund Waiver Initiative |
Katten |
| May 23 2015 |
CFTC Announces Agenda For Upcoming Market Risk Advisory Committee Meeting |
Katten |
| May 27 2016 |
SEC Releases Target Dates for Proposed and Final Rulemaking |
Katten |
| May 27 2016 |
Between Bridges (May 27, 2016): CFTC Proposes to Authorize Exchanges to Grant Physical Commodity Users Non-Enumerated Hedging Exemptions and Other Relief Related to Speculative Position Limits |
Katten |
| Dec 18 2017 |
Bridging the Week: December 11 – 15 and December 18, 2017 (ICOs; Financed Spot Virtual Currencies; Investment of Customer Funds; Wash Sales) [VIDEO] |
Katten |
| Mar 15 2014 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on Commodity Pool Operator Risk Management Practices |
Katten |
| Oct 10 2014 |
European Securities and Markets Authority (ESMA) Clearing Obligations for Foreign-exchange Non-deliverable Forwards (FX NDF) and IRS |
Katten |
| May 29 2020 |
FINRA Amends Rules Related to Membership Application Program to Promote Payment of Arbitration Awards and Issues Regulatory Notice on Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products |
Katten |
| Jun 1 2018 |
Financial Regulators Propose Changes to Volcker Rule |
Katten |
| Feb 8 2019 |
SEC Issues C&DI on Disclosure of Self-Identified Director Diversity Characteristics |
Katten |
| Oct 16 2014 |
The SEC's Municipalities Continuing Disclosure Cooperation (MCDC) Initiative: Where To Go from Here |
Katten |
| Oct 17 2014 |
Institutional Shareholder Services (ISS) Releases 2015 Draft Voting Policy Changes for Comment |
Katten |
| Jun 2 2016 |
SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration |
Katten |
| Mar 17 2023 |
Katten Financial Markets and Funds Quick Take March 2023 |
Katten |
| Jun 3 2016 |
CFTC Requests Comment on Proposal To Exempt Federal Reserve Banks From Sections 4d and 22 of the CEA |
Katten |
| Nov 20 2020 |
FINRA Files Proposed Rule Change to Address Firms With History of Misconduct |
Katten |
| Nov 21 2020 |
CFTC Extends Relief for SEFs From Certain Block Trade Requirements |
Katten |
| Jun 5 2015 |
Senator Elizabeth Warren Criticizes SEC Chair Mary Jo White for “Extremely Disappointing” Leadership |
Katten |
| Dec 4 2015 |
Agencies Announce Threshold for Smaller Loan Exemption From Appraisal Requirements for Higher-Priced Mortgage Loans |
Katten |
| Jun 10 2016 |
FINRA Releases Notice Regarding the SEC’s Approval of Algorithmic Trading Developer Registration Requirements |
Katten |
