| Aug 18 2017 |
CFTC Suspends Need of Formal Notice for Position Disaggregation Relief |
Katten |
| Aug 31 2015 |
FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers |
Katten |
| Feb 19 2016 |
SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies |
Katten |
| Jul 29 2020 |
Initial Margin Guidance for US Swap End Users |
Katten |
| Jan 11 2013 |
Institutional Shareholder Services "ISS" Publishes Updated FAQs for its Proxy Voting Policies |
Katten |
| Oct 7 2013 |
Commodity Futures Trading Commission (CFTC) Staff Responds to FAQs Regarding Commodity Options |
Katten |
| Apr 8 2019 |
Bridging the Week by Gary DeWaal: April 1 – 5 and April 8, 2019 (You Say Security, I Say Utility; Midtrial Acquittal) |
Katten |
| Nov 8 2019 |
SEC Announces Extension of Temporary Measure to Facilitate Implementation of MiFID II |
Katten |
| Sep 24 2018 |
Bridging the Week by Gary DeWaal: September 17 - 21 and September 24, 2018 (Spoofing; Cryptocurrency Trading Platforms; Post-Trade Allocations) |
Katten |
| Feb 21 2015 |
National Futures Association (NFA) Notifies SDs and MSPs of Annual Questionnaire Requirements |
Katten |
| Aug 25 2017 |
FINRA Proposes Rule Change to Subject Capital Acquisition Brokers to Pay-to-Play Rules |
Katten |
| Feb 23 2015 |
AML; Block Trades; EFRPs; Conflicts; Insider Trading - Bridging the Week: February 16 to 20 and 23, 2015 [VIDEO] |
Katten |
| Apr 12 2019 |
FINRA Announces Updates of the Interpretations of Financial and Operational Rules |
Katten |
| Sep 11 2015 |
NFA To Host Audio Conference for SDs and MSPs |
Katten |
| Apr 15 2019 |
Bridging the Week by Gary DeWaal: April 8 – 12 and April 15, 2019 (Not In An Empire State Of Mind; Mistrial For Programmer) [VIDEO] |
Katten |
| Sep 1 2017 |
SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements |
Katten |
| Feb 15 2018 |
Proposed White House Budget Eliminates CSB, Slashes EPA, Restructures NIOSH |
Katten |
| Dec 27 2022 |
SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies |
Katten |
| Jan 26 2013 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on "Futurization" of Swaps |
Katten |
| Oct 26 2013 |
Commodity Futures Trading Commission (CFTC) Extends Relief from De Minimis Exception to Certain Non-US Affiliates |
Katten |
| Jul 8 2014 |
Food and Drug Administration (FDA) Issues Two Additional Draft Guidance Documents on Social Media |
Katten |
| Mar 7 2016 |
Bridging the Week: February 29 – March 4, and 7, 2016 (Electricity; Prearranged Trades; Delivery Line Freshening; FCPA; Limiting Bank Exposure) |
Katten |
| Nov 3 2013 |
Commodity Futures Trading Commission (CFTC) Seeks Comments on TW SEF Available-to-Trade Certification |
Katten |
| Mar 6 2015 |
CFTC to Host Roundtable on Cybersecurity and System Safeguards Testing |
Katten |
| Oct 15 2018 |
Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets) |
Katten |
| Apr 26 2019 |
CFTC Approves Final Rule Providing Exception to Annual Privacy Notice Requirements |
Katten |
| Aug 18 2020 |
A Promise Made, a Promise Kept: CFTC Adopts Final Cross-Border Swaps Rules Largely as Proposed |
Katten |
| Apr 29 2019 |
Bridging the Week by Gary DeWaal: April 22 – 26 and April 29, 2019 (Stablecoin Not Stable?; No More Criminal Prosecution; Foreign Corrupt Practices) [VIDEO] |
Katten |
| Dec 6 2019 |
FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume |
Katten |
| Feb 9 2013 |
Institutional Shareholder Services ("ISS") Announces New Governance QuickScore Will Replace Governance Risk Indicators (GRId) to Identify Risks Within a Company |
Katten |
| Apr 10 2020 |
FINRA Issues Statement on SEC Risk Alerts Regarding Reg BI and Form CRS |
Katten |
| Nov 9 2013 |
Foreign Listed Stock Index - Futures and Options Approvals |
Katten |
| Jan 10 2023 |
Regulators and Law Enforcement are Closely Monitoring the Crypto Sector |
Katten |
| Dec 13 2019 |
CFTC Approves Final and Proposed Rules on Rulemaking, Capital Requirements for Swap Participants and Inter-Affiliate Swaps |
Katten |
| Oct 2 2015 |
OCC Announces Update to Accounting Interpretations On TDRs, OREO and Pushdown Accounting |
Katten |
