| Jul 13 2015 |
Bridging the Week [VIDEO]: July 6-10 and 13, 2015 (MF Global; John Corzine; Money Passes; REMIT; G-IBs) |
Katten |
| Dec 15 2014 |
Insider Trading, Sentinel, Punitive Capital Hit Stay, Investment Funds Portfolio Composition Risk, Auditor Independence (or Not): Bridging the Week: December 8 to 12 and 15, 2014 |
Katten |
| Jan 6 2017 |
ISS Releases Changes to Equity Plan Score Card for 2017 |
Katten |
| Jul 15 2013 |
SEC Announces Three New Anti-Fraud Enforcement Initiatives |
Katten |
| Jan 19 2016 |
SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries |
Katten |
| Jul 27 2018 |
Between Bridges – July 27, 2018: National Futures Association Proposes Interpretive Notice Requiring FCM, IB, CTA and CPO Disclosures Regarding Virtual Currency Activity |
Katten |
| Jun 30 2017 |
NYSE Withdraws Proposed Rule to Allow Listing Without an IPO |
Katten |
| Dec 19 2014 |
FINRA Proposes Rule Change to Codify Reporting Requirement for Accounts Acting in Concert |
Katten |
| Jan 22 2016 |
"Implementation Day" Brings Openings for Commercial Aircraft Sales With Iran |
Katten |
| Jan 17 2017 |
Bridging the Week: Jan 9 to 13, Jan 17, 2017 (Record Retention; Position Limits-Setting Authority; Overcharging Fees; Misstating Regulatory Capital) VIDEO |
Katten |
| Nov 7 2023 |
SEC Accelerates Beneficial Ownership Filing Deadlines but Holds Off on Other Changes |
Katten |
| Jul 24 2015 |
Federal Reserve Proposes Changes to Capital Planning and Stress Testing Regulations |
Katten |
| Dec 6 2022 |
December 9 Looms as Compliance Date for Private Investment Funds and Certain Investment Advisers to Comply With New Cybersecurity Requirements |
Katten |
| Nov 8 2023 |
Action Required: Corporate Transparency Act Reporting Is Here |
Katten |
| Jan 16 2018 |
Bridging the Week: January 8 to 12, and 16, 2018 (FINRA Examination Priorities; Crypto-Exchange Suit; Treasury Secretary Speaks Bitcoin) [VIDEO] |
Katten |
| Jan 29 2016 |
No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically |
Katten |
| Aug 6 2013 |
Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations |
Katten |
| Jan 11 2015 |
SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds |
Katten |
| May 16 2014 |
Commodity Futures Trading Commission (CFTC) Staff Announces Streamlined No-Action Relief Process for Certain CPOs (Commodity Pool Operators) |
Katten |
| Feb 1 2016 |
Bridging the Week: January 25 – 29 and February 1, 2016 (Money Market Funds; Independent IBs; FERC Jurisdiction; Pre-Execution Communications) |
Katten |
| Jun 9 2021 |
Family Offices Receive Increased Regulatory Scrutiny |
Katten |
| Nov 15 2023 |
President Biden Issues Executive Order on Safe, Secure and Trustworthy Artificial Intelligence |
Katten |
| Jan 16 2015 |
ESMA Announces Open Hearing on MiFID II and MiFIR--European Securities and Markets Association |
Katten |
| Mar 13 2019 |
Electing Out of the New Partnership Rules |
Katten |
| Aug 25 2018 |
SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements |
Katten |
| Aug 16 2013 |
Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation 4.5; Also Adopts Changes Applicable to All CPOs |
Katten |
| Mar 15 2019 |
Report from FINRA Board of Governors Meeting: Board Approves Rule Proposals, Engages with Boca Raton-Area Firms |
Katten |
| Oct 11 2019 |
CFTC to Hold Open Commission Meeting on October 16 |
Katten |
| Mar 31 2020 |
Between Bridges by Gary DeWaal: March 30, 2020 (Unregistered Digital Securities Offering; Risk Management Breakdown; COVID-19) |
Katten |
| Nov 20 2023 |
2023 Year-End Estate Planning Advisory |
Katten |
| Jan 27 2017 |
MSRB Revises Customer Complaint and Related Recordkeeping Rules |
Katten |
| Jul 28 2017 |
ISDA To Publish T+2 Protocol |
Katten |
| Aug 23 2013 |
Financial Industry Regulatory Authority (FINRA) Updates Private Placement Form and Issues FAQ |
Katten |
| Oct 18 2019 |
CFTC Approves Proposed Rules Relating to Uncleared Swaps |
Katten |
| Mar 22 2019 |
Banking Regulators Adopt Swap Margin Safe Harbor |
Katten |
