| Apr 3 2015 |
CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps |
Katten |
| Aug 22 2014 |
SEC Charges Colorado Woman and Her Two Companies with Offering Fraud |
Katten |
| Apr 6 2015 |
Manipulation and Manipulative Device; Sue and Be Sued; Alleged Pastor Fraud; Transfer Trades - Bridging the Week: March 30 to April 3 and 6, 2015 |
Katten |
| Jun 7 2019 |
SEC Approves Amendments to FINRA’s Codes of Arbitration Procedure for Customer and Industry Disputes |
Katten |
| Dec 7 2018 |
FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information) |
Katten |
| Oct 28 2017 |
SEC Approves PCAOB Rule to Require Enhanced Audit Reports |
Katten |
| Sep 25 2020 |
NFA Announces Webinar to Debut Updated Annual Questionnaire |
Katten |
| Feb 26 2021 |
FINRA Provides Additional FINRA Exams Online |
Katten |
| Mar 30 2013 |
April 10 Deadline for Swap End User Legal Entity Identifier Requirement |
Katten |
| Sep 5 2014 |
US Banking Regulators Propose Margin Requirements for Uncleared Swaps |
Katten |
| Dec 17 2018 |
Bridging the Week by Gary DeWaal: December 10 - 14 and December 17, 2018 (Bitcoin; Ether; Blue Sheets; CPO Internal Controls; Disruptive Trading) |
Katten |
| Nov 4 2016 |
SEC Adopts Amendments to Rules 147 and 504, Adopts Rule 147A and Repeals Rule 505 |
Katten |
| Apr 14 2017 |
SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule |
Katten |
| Nov 8 2015 |
CFTC Extends Time-Limited Relief to SEFs for Block Trades |
Katten |
| Apr 6 2013 |
Commodity Futures Trading Commission (CFTC) Staff Issues No-Action Letters |
Katten |
| Jan 10 2014 |
National Futures Association (NFA) Implements Additional Reporting Requirements for Certain FCMs (Futures Commission Merchants) |
Katten |
| Jun 21 2019 |
NFA Issues Notice of Annual Surcharge to Certain Member Firms |
Katten |
| Feb 9 2020 |
CFTC’s Technology Advisory Committee to Meet on February 26 |
Katten |
| Nov 11 2016 |
NFA Increased the Required Minimum Security Deposit for Forex Transactions |
Katten |
| Apr 21 2017 |
CFTC Extends Previously Granted No-Action Relief for Swap Dealers Complying With EU Requirements |
Katten |
| Nov 15 2015 |
Agencies Find Weaknesses in Shared National Credits |
Katten |
| Feb 15 2023 |
Record Penalty for Alleged Regulation FD Violations and Best Practices Going Forward |
Katten |
| Sep 21 2014 |
Commodity Futures Trading Commission (CFTC) Proposes Margin Rules for Uncleared Swaps |
Katten |
| Apr 25 2017 |
EPA Issues Notice That It Will Reconsider Oil and Gas Methane Emissions Rule |
Katten |
| May 5 2016 |
Hail Mary to U.S. Supreme Court? Owner of REDSKINS Marks Petitions for Hearing on Constitutionality of Section 2(a) of Lanham Act |
Katten |
| Jan 25 2014 |
Institutional Shareholder Services (ISS) Updating QuickScore Methodology and Opening Data Validation Period |
Katten |
| Jul 1 2019 |
Bridging by Gary DeWaal: June 24 – 28, and July 1, 2019 (Wash Sales; Another Spoofing Settlement) [VIDEO] |
Katten |
| Nov 21 2016 |
Bridging the Week: November 14 to 18 and November 21, 2016 (Sarao, Coscia and Spoofing; Friends and Family Hiring; Politicians Tell Regulators Put Pens Down) [VIDEO] |
Katten |
| Oct 16 2020 |
CFTC Adopts New Position Limits Requirements |
Katten |
| Aug 17 2023 |
Federal Reserve Warns Against Potential Risks Posed by Quantum Computers and AI |
Katten |
| Jul 8 2019 |
Bridging the Week by Gary DeWaal: July 1 – 5, and July 8, 2019 (Banning Cryptocurrency Futures; Apple Computer; Position Limits Violation) |
Katten |
| May 9 2015 |
CFTC Determines That Wholly Owned Securitization SPVs of Captive Finance Companies May Elect End-User Exception |
Katten |
| May 13 2016 |
SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants |
Katten |
| May 11 2015 |
Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 |
Katten |
| Jul 12 2019 |
CFTC Staff Provide Guidance, No-Action Relief With Respect to the Treatment of Separate Accounts by FCMs |
Katten |
