| Jul 28 2015 |
When Bad Faith Opportunities Knock: Expanding What Behaviors May Warrant Transfer of a Domain Name |
Katten |
| Mar 27 2020 |
SEC Approves CBOE Proposed Rule Change Regarding Off-Floor Position Transfers |
Katten |
| Aug 24 2018 |
SEC Amends Disclosure Obligations in Municipal Securities Market |
Katten |
| Dec 23 2020 |
Fintech Update and the Road Ahead |
Katten |
| Aug 16 2013 |
Chicago Mercantile Exchange (CME) Amends Electronic Audit Trail Requirements |
Katten |
| Jan 26 2018 |
CFTC’s Market Risk Advisory Committee Releases Agenda for Upcoming Public Meeting |
Katten |
| Aug 31 2018 |
CFTC Grants No-Action Relief Relating to Counting Toward the Swap Dealer Registration De Minimis Threshold |
Katten |
| Jul 17 2020 |
FINRA Proposes to Increase Positions Limits on Certain Options |
Katten |
| Jul 30 2017 |
Volcker Rule Developments |
Katten |
| Aug 23 2013 |
Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also Adopts Changes Applicable to All CPOs |
Katten |
| Aug 7 2015 |
SEC Finalizes Rule on Pay Ratio Disclosure |
Katten |
| Aug 25 2013 |
Federal Agencies Seek to Bolster Leverage Ratio Standards for Largest Banks |
Katten |
| Dec 18 2012 |
SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives |
Katten |
| Jan 26 2015 |
Swiss Francs; Block Trades; Disruptive Practices; Corporate Culture; Position Limits; Privacy - Bridging the Week: January 19 to 23 and 26, 2015 [VIDEO] |
Katten |
| Aug 4 2017 |
FINRA and SIPC Agree To Streamline the Annual Report Filing Process for Broker-Dealers |
Katten |
| Aug 14 2015 |
SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D |
Katten |
| Nov 1 2019 |
CFTC’s Global Markets Advisory Committee Seeking Nominations for New Subcommittee |
Katten |
| Feb 3 2017 |
FINRA and ISG Update Electronic Blue Sheet Data Elements |
Katten |
| Jun 6 2014 |
Supreme Court Unanimously Rejects Federal Circuit Standards for Indefiniteness and Induced Infringement |
Katten |
| Sep 14 2013 |
Former Head of Investor Relations Penalized by SEC for Selectively Disclosing Material Nonpublic Information, While Self-Disclosing Company Escapes Charges |
Katten |
| Nov 8 2019 |
CFTC Approves Three Foreign Board of Trade Applications |
Katten |
| Aug 30 2015 |
Bridging the Week: August 17 - 21 and 24, 2015 - Block Trades, Front Running, Failure to Supervise, Conflicted Audit, Exempt Clearinghouse |
Katten |
| Aug 29 2016 |
Bail-In and Contractual Recognition: Impact on US and Other Non-EU Counterparties, Potential Impact of Brexit |
Katten |
| Sep 20 2013 |
Securities and Exchange Commission (SEC) Proposes Rule Regarding Disclosure of CEO-to-Worker Pay Ratio |
Katten |
| Feb 10 2017 |
Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule |
Katten |
| Aug 4 2020 |
Physician Late Career Policies Under EEOC Attack [1] |
Katten |
| Aug 28 2015 |
SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 |
Katten |
| Jun 30 2022 |
5 Questions You Should Be Asking About Succession Planning for Your Family Office |
Katten |
| Sep 2 2016 |
SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities |
Katten |
| Aug 31 2015 |
Bridging the Week: August 24 - 28 and 31, 2015 (Net Capital, Flash Boys, Forum Choice, AML, Investment Advisers and Regulatory Equivalency) |
Katten |
| Feb 17 2015 |
FDIC Issues Private Letter to Elaborate on Brokered Deposit FAQ |
Katten |
| Sep 9 2016 |
CFTC Finalizes System Safeguards Testing Requirements |
Katten |
| Apr 19 2019 |
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination |
Katten |
| Feb 20 2015 |
CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting |
Katten |
| Jun 26 2014 |
The Early Bird Gets the Trademark: Don’t Delay Filing Intent-to-Use Applications |
Katten |
