| Jul 13 2015 |
FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities |
Katten |
| Jul 11 2016 |
Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 |
Katten |
| Jan 6 2017 |
NFA Updates the Forex Regulatory Guide |
Katten |
| May 14 2021 |
CFTC Announces Energy and Environmental Markets Advisory Committee Meeting |
Katten |
| Jul 15 2016 |
CFTC Extends Public Comment Period for ICE Futures U.S. Block Trade Rule Change |
Katten |
| Jul 21 2013 |
Financial Industry Regulatory Authority (FINRA) Announces Targeted Examination Letter Regarding High-Frequency Trading |
Katten |
| Dec 21 2014 |
Congress Eases Debt Level Restrictions for Smaller Banks, Thrifts |
Katten |
| May 12 2022 |
FTC Goes on Penalty Offense, Warns of Hefty Fines for Deceptive Advertising |
Katten |
| Jul 23 2013 |
Bills Renewing Generalized System of Preferences (GSP) and Tariff Suspensions Are Racing Against the Clock |
Katten |
| Jan 13 2017 |
CFTC Proposes To Amend Recordkeeping Requirements in January 2017 |
Katten |
| May 20 2021 |
Following Supreme Court Win, Award Decreased in 2020 Decades-Long Trademark Dispute |
Katten |
| Jan 12 2018 |
CFTC Staff Issues No-Action Relief to Futures Commission Merchants and Introducing Brokers Regarding Capital Treatment of Deferred Tax Liabilities From Changes in Accounting Principles |
Katten |
| Jul 6 2020 |
LIBOR Preparedness Exams Are Coming – Is Your Firm Ready? |
Katten |
| Oct 4 2019 |
SEC Proposes to Amend Quotation Rule for OTC Securities |
Katten |
| Jul 29 2016 |
Proposed FINRA Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility |
Katten |
| Jan 12 2015 |
SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration |
Katten |
| Jan 20 2017 |
FINRA Issues Report on Implications of Blockchain |
Katten |
| Nov 12 2012 |
SEC to Extend Filing Deadlines for Filers Affected by Hurricane Sandy |
Katten |
| Mar 17 2019 |
NFA Issues Notices I-19-07 & I-19-08 |
Katten |
| Oct 11 2019 |
FINRA Provides Member Firms with New Reg BI and Form CRS Resources |
Katten |
| Aug 10 2013 |
Amendments to SEC Rules Regarding Broker Dealer Financial Responsibility and Reporting Requirements |
Katten |
| Jul 21 2017 |
FINRA Releases Additional Guidance With Respect To Enhanced Disclosure Requirements for Corporate and Agency Debt Securities Transactions |
Katten |
| Nov 25 2012 |
CFTC Proposes Swaps Report |
Katten |
| Jan 16 2015 |
CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law |
Katten |
| Mar 27 2020 |
SEC Approves CBOE Proposed Rule Change Regarding Off-Floor Position Transfers |
Katten |
| Mar 22 2019 |
CFTC Announces Energy and Environmental Markets & Global Markets Advisory Committee Meetings |
Katten |
| May 30 2014 |
Commodity Futures Trading Commission (CFTC) Proposes to Amend De Minimis Threshold for Swaps with Utility Providers |
Katten |
| Dec 3 2012 |
SEC Posts Small Entity Compliance Guide Regarding Conflict Minerals Disclosure |
Katten |
| Aug 12 2016 |
CFTC Announces Enhancements to Protect Customer Funds |
Katten |
| Mar 29 2019 |
CFTC Staff Issues Research Report on Impact of Automated Orders in Commodity Futures Markets |
Katten |
| Dec 14 2012 |
National Future Association (NFA) Issues Guidance on Annual Affirmation Requirement for CPO and CTA Exemptions |
Katten |
| Jun 6 2014 |
Securities and Exchange Commission (SEC) Chair Gives Speech on Equity Market Structure |
Katten |
| Nov 2 2019 |
SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods |
Katten |
| Dec 13 2012 |
Ninth Circuit Prohibits Bankruptcy Courts from Entering Judgments on Fraudulent Conveyance Claims Against Non-Claimants |
Katten |
| Feb 1 2015 |
NFA Announces New Filing Process for Swap Dealer and Major Swap Participant CCO Reports |
Katten |
