| Mar 30 2019 |
CFTC Small Business Rule and Brexit Provisions |
Katten |
| Feb 17 2016 |
Further Relaxation of Sanctions for Commercial Aircraft Operations in Cuba |
Katten |
| Jun 8 2014 |
Commodities Futures Trading Commission (CFTC) and Reserve Bank of Australia Sign Memorandum of Understanding Regarding Cross-Border Clearing Organizations |
Katten |
| Aug 26 2016 |
CFTC Issues No-Action Letter Regarding Use of Security-Based Swaps in Initial Margin Calculations for Uncleared Swaps |
Katten |
| Apr 7 2019 |
CFTC Issues No-Action Relief for Prime Brokerage Trading on SEFs |
Katten |
| Feb 17 2017 |
FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan |
Katten |
| Jul 24 2020 |
SAMHSA Finalizes Interim Changes to Substance Use Disorder Confidentiality Rule Pending Implementation of Deeper CARES Act Reforms |
Katten |
| Aug 20 2015 |
The Surface Transportation and Veterans Health Care Choice Improvement Act of 2015: Important Changes Affecting Tax Filings for Individuals and for Trusts and Estates |
Katten |
| Feb 6 2015 |
SEC and FINRA Issue Cybersecurity Publications |
Katten |
| Feb 29 2016 |
Bridging the Week: February 22–26 and 29, 2016 (Position Limits; Short Sales; Canadian Derivatives; Form PR) |
Katten |
| Jun 23 2022 |
SEC Proposes Additional ESG Disclosure Requirements for Regulated Funds and Related Expansion of Investment Company Act "Names Rule" |
Katten |
| Sep 27 2013 |
Securities and Exchange Commission (SEC) Adopts Municipal Advisor Registration Requirements |
Katten |
| Aug 28 2015 |
The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Kill Switch for NOM |
Katten |
| Sep 9 2016 |
CFTC Issues Comparability Determination for Japan Uncleared Swap Margin Rules |
Katten |
| Apr 3 2020 |
SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 |
Katten |
| Feb 13 2018 |
SEC Approves NYSE Rule to Facilitate Listing Without an IPO |
Katten |
| Jan 15 2021 |
Holding Foreign Companies Accountable Act Signed Into Law by President Trump |
Katten |
| Jan 15 2021 |
2021 Biden Plan Estate Planning Advisory |
Katten |
| Feb 17 2015 |
SEC Publishes Rules for Reporting Security-Based Swaps |
Katten |
| Nov 22 2019 |
FINRA Proposes Limitations on Serving as a Customer’s Beneficiary |
Katten |
| Sep 19 2016 |
NFA Issues Notice Regarding Jurisdictions With AML/CFT Deficiencies |
Katten |
| Oct 4 2018 |
Considerations and Challenges Under New IRS Guidance on Section 162(m) |
Katten |
| Oct 13 2013 |
Financial Industry Regulatory Authority (FINRA) Discusses Suitability Rule Examination Findings |
Katten |
| Jun 27 2014 |
Over the Borderline: Protecting Foreign Marks in the United States |
Katten |
| Feb 16 2018 |
SEC Proposes Budget for Fiscal Year 2019 |
Katten |
| Dec 6 2019 |
CFTC December Meetings |
Katten |
| Feb 27 2015 |
CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs |
Katten |
| Sep 26 2016 |
Supervision; Block Trades; EFRPs; Independence; Tag 50s; Insider Trading - Bridging the Week: September 19 to 23 and September 26, 2016 [VIDEO] |
Katten |
| Jul 22 2021 |
ESG Remains a Priority: SEC Asset Management Advisory Committee Adopts ESG Disclosure Recommendations |
Katten |
| Sep 22 2017 |
CFTC Provides No-Action Relief From Commission Regulation 4.7(b)(2) Reporting Requirements |
Katten |
| Jul 12 2014 |
SEC Settles Civil Foreign Corrupt Practices Act (FCPA) Action Against Two Former Oil Services Executives |
Katten |
| Sep 21 2015 |
Bridging the Week: September 14 to 18 and 21, 2015 (Virtual Currencies; Large Trader Reports; Leverage Ratio; Penson; Double Jeopardy; LME Position Limits) |
Katten |
| Sep 30 2016 |
CFTC Expands Clearing Requirement to Include Additional Interest Rate Swaps |
Katten |
| Feb 27 2018 |
SEC Publishes Inspection Priorities for 2018 |
Katten |
| May 3 2019 |
CFTC Proposes Amendments to DCO Regulations |
Katten |
