| Apr 19 2019 |
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination |
Katten |
| Oct 13 2013 |
Office of the Comptroller of the Currency (OCC) Updates Bank Accounting Advisory Series |
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 |
| Aug 31 2015 |
FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers |
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 |
| Oct 19 2013 |
SEC Scores in Accounting Fraud Suit Against BankAtlantic Corp. and Former CEO |
Katten |
| Dec 27 2022 |
SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies |
Katten |
| Feb 21 2015 |
National Futures Association (NFA) Notifies SDs and MSPs of Annual Questionnaire Requirements |
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 |
| Feb 23 2015 |
AML; Block Trades; EFRPs; Conflicts; Insider Trading - Bridging the Week: February 16 to 20 and 23, 2015 [VIDEO] |
Katten |
| Jul 11 2014 |
FINRA to Conduct Targeted Examinations Regarding Order Routing and Execution Quality of Customer Orders in Exchange-Listed Stocks |
Katten |
| Sep 11 2015 |
NFA To Host Audio Conference for SDs and MSPs |
Katten |
| Nov 2 2013 |
Commodity Futures Trading Commission (CFTC) CFTC Adopts Rules Regarding the Protection of Collateral and Treatment of Securities in a Portfolio Margining Account in a Bankruptcy |
Katten |
| May 6 2019 |
CBOE Proposes Amendments to Rule 6.49A to Eliminate On-Floor Position Transfers Procedures |
Katten |
| Aug 21 2020 |
FINRA: Corporate Bond Pennying & Security Futures Risk |
Katten |
| Sep 30 2016 |
SEC Proposes Amendment to Expedite Settling Securities Transactions |
Katten |
| Jan 10 2023 |
Regulators and Law Enforcement are Closely Monitoring the Crypto Sector |
Katten |
| Nov 16 2013 |
Commodity Futures Trading Commission (CFTC) Issues Cross-Border Transactions Advisory |
Katten |
| Mar 6 2015 |
CFTC to Host Roundtable on Cybersecurity and System Safeguards Testing |
Katten |
| Mar 25 2016 |
Federal Reserve Board Proposes Enhanced Single-Counterparty Credit Limits for Large Banks |
Katten |
| Apr 16 2020 |
Physically Settled Power Hedges Under the ISDA North American Power Annex |
Katten |
| Nov 24 2013 |
Commodity Futures Trading Commission (CFTC) Issues Guidance for Swap Execution Facilities |
Katten |
| Mar 4 2013 |
Commodity Futures Trading Commission (CFTC) Revises Clearing Compliance Schedule for iTraxx Credit Default Swap (CDS) Indices |
Katten |
| Apr 17 2020 |
SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 |
Katten |
| Oct 2 2015 |
OCC Announces Update to Accounting Interpretations On TDRs, OREO and Pushdown Accounting |
Katten |
| Oct 6 2017 |
US Department of Justice Challenges Acquisition Seven Months After Closing |
Katten |
| Dec 8 2013 |
FINRA (Financial Industry Regulatory Authority) Issues New Rules on Securities Borrowing, Customer Protection and Callable Securities |
Katten |
| May 24 2019 |
FINRA Proposes Rule to Extend the Implementation of Rule Related to Margin Requirements for Credit Default Swaps |
Katten |
| Mar 23 2015 |
CBOE Proposes Amendments to Trading Permit Holder and Direct Access Qualifications |
Katten |
| Aug 6 2021 |
SEC Enforcement Actions Highlight Regulatory Focus on Form CRS and Regulation Best Interest |
Katten |
| Mar 23 2015 |
Exchange Fined; Algorithmic Traders; Red Flags; China Access- Bridging the Week: March 16 to 20 and 23, 2015 |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s TRACE Amendments for US Treasury Securities |
Katten |
| Mar 16 2013 |
Texas District Court Addresses Misappropriation Theory of Insider Trading |
Katten |
| Mar 27 2015 |
CFTC Issues Advisory on Ownership and Control Reporting |
Katten |
| Dec 21 2013 |
Banking Agencies Issue FAQ Document Regarding Collateralized Debt Obligations (CDOs) Backed by TruPS Under the Volcker Rule |
Katten |
