| Feb 23 2024 |
SEC Significantly Broadens "Dealer" Definition |
Katten |
| Dec 4 2015 |
Federal Reserve Announces Final Rule on Emergency Lending |
Katten |
| Dec 9 2017 |
NFA Proposes to Amend NFA Compliance Rules 2-36 and 2-43 |
Katten |
| May 6 2013 |
US Aircraft Regulatory Registration Basics for Financings |
Katten |
| Oct 10 2014 |
FINRA Proposes to Make Permanent the Limited Fee Waiver Pilot Program for TRACE Data |
Katten |
| Jun 10 2016 |
FINRA Announces Modifications to IARD Accounting System |
Katten |
| Jun 5 2015 |
SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules |
Katten |
| Jun 20 2016 |
Bridging the Week: Who’s a Customer?; Front-Running; Spoofing; Block Trades; Red Flags |
Katten |
| Dec 18 2015 |
SEC Proposes Payment Disclosure Rules for Resource Extraction Issues |
Katten |
| Dec 21 2015 |
Bridging the Week: December 14 - 18 and 21, 2015 - EFRPs; Wash Sales; Manipulation; Margin; Conflicts of Interest; Fingerprinting; Audit Trail [VIDEO] |
Katten |
| Jun 7 2017 |
Compliance With ERISA Fiduciary Advice Rule for Private Investment Fund Managers and Sponsors and Managed Account Advisers: Beginning June 9, 2017 |
Katten |
| Dec 4 2020 |
Nasdaq Seeks SEC Approval of Board Diversity Rule |
Katten |
| Aug 16 2019 |
SEC Proposes to Modernize Business, Legal Proceedings and Risk Factor Disclosures Required by Regulation S-K |
Katten |
| Dec 4 2020 |
CFTC Staff Extends Existing Brexit-Related Relief to Provide Market Certainty & Temporary Relief to DTCC Data Repository LLC and Related Entities from Reporting Requirements |
Katten |
| Mar 14 2024 |
Back to the Drawing-Board: The CFTC Re-Proposes Rules to Codify Letter 19-17 |
Katten |
| Nov 10 2014 |
NFA (National Futures Association) Changes Public Display of FCM Financial Information on BASIC |
Katten |
| Nov 9 2021 |
Q&A – A Closer Look at OSHA's Vaccination Requirement for Employers With 100+ Employees |
Katten |
| Jun 15 2013 |
Commodity Futures Trading Commission (CFTC) Delays Effective Date for Clearing Exemption for Swaps Between Affiliates |
Katten |
| Apr 5 2014 |
SEC (Securities and Exchange Commission) Requests Comment on FINRA (Financial Industry Regulatory Authority) Rules |
Katten |
| Apr 4 2014 |
Agencies Issue Interim Final TruPs CDOs Rule, Effective April 1 - Trust Preferred Securities Collateralized Debt Obligations |
Katten |
| Nov 14 2014 |
Commodity Futures Trading Commission (CFTC) Issues Further Relief for Package Transactions |
Katten |
| Jan 8 2016 |
NFA Revises SD and MSP 4s Review Process |
Katten |
| Jul 8 2016 |
SEC Proposes Amendments to Definition of ‘Smaller Reporting Company’ |
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 |
| Nov 17 2022 |
2022 Year-End Estate Planning Advisory |
Katten |
| Nov 23 2014 |
CFTC Proposes to Revise Interpretation on Forward Contracts with Embedded Volumetric Optionality |
Katten |
| Apr 11 2014 |
FINRA Requests Comment on Rules Regarding Communications with the Public and Gifts, Gratuities and Non-Cash Compensation -- Financial Industry Regulatory Authority |
Katten |
| Jun 30 2013 |
Commodity Futures Trading Commission (CTFC) Issues No-Action Letters |
Katten |
| Apr 17 2023 |
Deleveraging Through the LMA Intercreditor Distressed Disposal: How to Navigate a Challenge-Free Process |
Katten |
| Apr 20 2014 |
Securities and Exchange Commission (SEC) Alleges Insider Trading by Two Friends in Advance of the Acquisition of The Shaw Group Inc. |
Katten |
| Jul 15 2016 |
CFTC Extends Public Comment Period for ICE Futures U.S. Block Trade Rule Change |
Katten |
| May 14 2021 |
CFTC Announces Energy and Environmental Markets Advisory Committee Meeting |
Katten |
| May 13 2022 |
Commercial Real Estate in Charlotte: Takeaways From the Sun Belt City's Hot Market |
Katten |
| Dec 8 2014 |
SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report |
Katten |
| Sep 13 2019 |
SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process |
Katten |
