| Dec 21 2019 |
SEC Adopts Final SBS Cross-Border Rule Amendments and Sets Compliance Date for SBS Dealer Registration |
Katten |
| May 13 2019 |
Bridging the Week by Gary DeWaal: May 6 – 10 and May 13, 2019 (So Many Guidances by CFTC Enforcement, FinCEN and FINRA, So Little Time; The SEC and Jackson Pollock) |
Katten |
| Feb 5 2021 |
FINRA Amendments and Updates for February 5, 2021 |
Katten |
| Oct 2 2015 |
Banking Agencies Announce EGRPRA Meeting |
Katten |
| Mar 13 2017 |
Layering, Cross-Market Manipulation, Retaliatory Firing and Non-Cooperation - Bridging the Week: March 6 - 10, March 13, 2017 [VIDEO] |
Katten |
| Oct 3 2016 |
Bridging the Week: Futures Insider Trading, Artificial Prices, Theft by Convention, Whistleblowing [VIDEO] |
Katten |
| Mar 2 2013 |
Securities and Exchange Commission (SEC) Division of Trading and Markets Discusses Issues with Exchange-Traded Products |
Katten |
| Jul 25 2014 |
SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive |
Katten |
| Apr 16 2020 |
Revising Initial Expectations: CFTC Proposes Substantial Amendments to Form CPO-PQR and Related Requirements |
Katten |
| Jan 27 2022 |
Life in The Fast Lane: How Urban Car Ads Depicting 'Street Art' Can Backfire |
Katten |
| Jul 5 2023 |
Federal Trade Commission Updates Endorsement Guides and Proposes New Rule on Consumer Reviews |
Katten |
| Mar 17 2017 |
CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal |
Katten |
| Sep 4 2020 |
CFTC No-Action Letter 20-25: CFTC Provides Time-Limited Relief from the Swap Clearing Requirement |
Katten |
| Oct 4 2017 |
Bridging the Week by Gary DeWaal: September 18 to 22 and September 25, 2017 (My Affiliate’s Keeper?; CFTC Flexes Cryptocurrency Muscle; Can SEC Keep a Secret?) |
Katten |
| Mar 28 2015 |
SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking |
Katten |
| May 24 2019 |
Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments |
Katten |
| Feb 3 2022 |
It's Time Once Again: SHC Report of US Ownership of Foreign Securities Due March 4 |
Katten |
| Oct 14 2016 |
CFTC Sets Phase-In De Minimis Amount Termination Date |
Katten |
| Mar 18 2013 |
FINRA (Financial Industry Regulatory Authority) Amends Rules to Address Extraordinary Market Volatility |
Katten |
| Mar 27 2017 |
Bridging the Week: March 20 - 24 and March 27 (SARs and Red Flags; International Spoofing; Pre-Execution Discussions; Making Capital Markets Great Again) |
Katten |
| Aug 22 2014 |
ISDA (International Swaps and Derivatives Association) Publishes Protocol for 2014 Credit Derivatives Definitions |
Katten |
| Oct 21 2016 |
CFTC Exempts Certain Southwest Power Pool Transactions |
Katten |
| Apr 24 2020 |
CFTC Grants Relief to Address Net Capital Treatment of PPP Monies and FINRA Annual Assessments |
Katten |
| Apr 24 2020 |
NFA Published Amendments to Its Advertising Rules |
Katten |
| Aug 29 2014 |
SEC Announces FINRA Pilot Program to Widen Tick Sizes for Smaller Companies |
Katten |
| Jan 24 2020 |
CFTC to Hold an Open Commission Meeting on January 30 |
Katten |
| Apr 1 2013 |
Consumer Financial Protection Bureau (CFPB) Finalizes ATM Disclosure Rule Changes |
Katten |
| Apr 15 2016 |
SEC Publishes Concept Release Regarding Business and Financial Disclosure |
Katten |
| Apr 27 2020 |
Hope for the Best but Prepare for the Worst — Steps to Take If You are Worried About the Effects of the Pandemic on Your ISDA Counterparty |
Katten |
| Oct 31 2016 |
Bridging the Week: October 24 to 28 and October 31, 2016 (Tipper and Tippees; Block Pre-Hedging; Regulation AT Amendments; FINRA, SEC Sweep) |
Katten |
| Apr 5 2013 |
Thomas J. Curry Named Federal Financial Institutions Examination Council (FFIEC) Chairman |
Katten |
| Nov 6 2015 |
SEC Grants Exemptive Relief With Respect to the Large Trader Rule |
Katten |
| Sep 13 2014 |
First Bitcoin Swap Proposed |
Katten |
| Apr 22 2016 |
CFTC Enters Into Information Sharing MOU With Three Additional Canadian Provinces |
Katten |
| Nov 14 2015 |
CFTC Provides Responses to Frequently Asked Questions Regarding Commission Form CPO-PQR and CTA-PR |
Katten |
