| Jul 19 2019 |
FINRA Proposes Rule Change Relating to Exemptions from Order Audit Trail System Recording and Reporting Requirements |
Katten |
| Mar 7 2020 |
CFTC Approves Rule Change Relating to Termination of Exemptive Relief for Foreign Brokers |
Katten |
| Oct 15 2021 |
FTC Warns Massive List of US Companies Not to Deceive Consumers With False Endorsements and Reviews |
Katten |
| Apr 2 2021 |
FINRA Announces Updates to the Interpretation on FINRA’s Margin Rule for Day Trading |
Katten |
| Sep 18 2023 |
Finally Finally! FINRA Finalizes Amendments to Covered Agency Transaction Requirements Under FINRA's Margin Rule 4210 |
Katten |
| May 29 2020 |
FINRA Requests Comments on Security-Based Swaps |
Katten |
| Mar 9 2014 |
SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments - Securities and Exchange Commission |
Katten |
| May 26 2017 |
CFTC Approves Amendments to Whistleblower Rules |
Katten |
| Jul 29 2019 |
Bridging the Week by Gary DeWaal: July 22 – 26, and July 29, 2019 (Or ≠ And; Actual Delivery = Real Delivery; Gaming Tokens ≠ Securities; Ain’t Broke = Working) |
Katten |
| Oct 10 2014 |
FINRA Postpones Rules on Market Participant Identifier (MPID) Requirements forAlternative Trading Systems (ATSs) |
Katten |
| Jun 3 2016 |
FINRA Issues Guidance With Respect to Stop Orders and Volatile Market Conditions |
Katten |
| May 12 2013 |
Consumer Financial Protection Bureau Releases Final Rule on International Remittance Transfers |
Katten |
| Nov 20 2020 |
CFTC Unanimously Approves Final Rule for Granting Exemptions From DCO Registration |
Katten |
| May 18 2013 |
SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps |
Katten |
| Jun 10 2016 |
SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information |
Katten |
| Apr 16 2021 |
CFTC Staff Provides Further Brexit-Related Relief |
Katten |
| Dec 8 2015 |
Questions and Answers Concerning Final Prudential Regulator Margin Rules for Non-Cleared Swaps |
Katten |
| Mar 21 2014 |
SEC (Securities and Exchange Commission) Approves New FINRA (Financial Industry Regulatory Authority) Supervision Rules |
Katten |
| Jun 9 2017 |
FINRA Issues Notice Regarding Disruptive Quoting and Trading Activity Rule Changes |
Katten |
| Jun 25 2018 |
Bridging the Week by Gary DeWaal: June 18 - 22 and June 25, 2018 (Cryptocurrencies; Fiat Currencies; Trust; Fraud; Jurisdiction; Administrative Law Judges) |
Katten |
| Jun 11 2020 |
Structuring Acquisitive Transactions in Difficult Times |
Katten |
| Dec 17 2016 |
CFTC Grants No-Action Relief From Certain Swap Clearing Requirements for Swaps With Eligible Affiliate Counterparties in Australia or Mexico |
Katten |
| Dec 7 2020 |
SEC Adopts Amendments to MD&A and Other Financial Disclosures |
Katten |
| Dec 19 2016 |
EPA Proposes FIP for Texas Regional Haze Plan |
Katten |
| Nov 9 2014 |
CFTC Grants Relief to IB Entering Into Give-Up Arrangements |
Katten |
| Jun 19 2015 |
OCC Revises Residential Real Estate Lending Guidance in Comptroller’s Handbook |
Katten |
| Dec 11 2020 |
NFA Issues Notice to Members Regarding Compliance Date Swaps Proficiency Requirements |
Katten |
| Apr 7 2014 |
Agencies Issue Denial of Service Guidance and Guidance on ATMs |
Katten |
| Nov 14 2014 |
OTC Derivatives Regulators Group Issues Report to G20 Leaders |
Katten |
| Jun 23 2013 |
Chicago Mercantile Exchange (CME) Group Introduces Self-Match Prevention |
Katten |
| Jun 19 2020 |
SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS |
Katten |
| Nov 21 2014 |
FINRA and the MSRB Release Companion Proposals That Would Require Additional Disclosures for Transactions in Fixed Income Securities |
Katten |
| Sep 6 2019 |
CFTC Announces Agenda for Market Risk Advisory Committee Meeting |
Katten |
| Apr 16 2014 |
Foreign Listed Stock Index Futures and Options Approval Chart April 16, 2014 |
Katten |
| Nov 14 2022 |
Katten Financial Markets and Funds Quick Take: November 2022 |
Katten |
