| Dec 7 2018 |
NFA Proposes To Amend Interpretive Notice on Information Systems Security Programs |
Katten |
| Sep 21 2014 |
Financial Industry Regulatory Authority (FINRA) Revises Proposal to Adopt Consolidated FINRA Rule 2231 |
Katten |
| Nov 13 2015 |
FINRA Issues Notice on Mandatory Participation of Member Firms in FINRA’s BC/DR Testing |
Katten |
| Dec 16 2018 |
NFA Proposes Amendments Incorporating Swaps into Compliance Rules and Interpretive Notices; NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems |
Katten |
| Jan 26 2014 |
Commodity Futures Trading Commission (CFTC) Interdivisional Working Group to Review Swap Reporting |
Katten |
| Nov 14 2016 |
Bridging the Week: November 7 to 11 and November 14, 2016 (Spoofer Pleads; Pre-Hedging Futures Blocks; Form 40 and Reg AT Again; President Trump) [VIDEO] |
Katten |
| Apr 17 2017 |
Bridging the Week: April 10 to 14 and 17, 2017 (Theft of Trade Secrets; No Spoofing; Third-Party Payments; Fake News) [VIDEO] |
Katten |
| Nov 3 2017 |
CFTC Extends No-Action Relief for Certain Swaps Executed as Part of Packaged Transactions |
Katten |
| Apr 15 2018 |
Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits |
Katten |
| Dec 20 2018 |
FINRA Publishes Its Annual Report on Examination Findings |
Katten |
| Nov 20 2015 |
SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference |
Katten |
| Oct 3 2014 |
Commodity Futures Trading Commission (CFTC) Settles Fraudulent Trading Violations with Forex Trader |
Katten |
| May 6 2016 |
SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act |
Katten |
| Feb 14 2020 |
NFA Provides Information to Assist Members in Meeting Their Regulatory Obligations |
Katten |
| Oct 6 2014 |
Market Disruption; When Is Enough Enough; Pay to Play; Money for Mom - Bridging the Week: September 29 to October 3 and 6, 2014 [VIDEO] |
Katten |
| Sep 8 2022 |
The SEC Remains in Search of and is Looking for Finders |
Katten |
| Nov 10 2017 |
FINRA Releases Notice to Members Addressing "Pay-to-Play" Rule for Capital Acquisition Brokers |
Katten |
| May 8 2015 |
ESMA Releases Final Guidance on the Definition of Physically Settled Commodity Derivatives Under MiFID I |
Katten |
| Feb 27 2023 |
SEC 2023 Examination Priorities |
Katten |
| Feb 16 2014 |
Securities and Exchange Commission (SEC) Files Insider Trading Action Despite Unknown Tipper |
Katten |
| Oct 23 2020 |
FINRA Releases Information Notice on Cybersecurity Authentication Methods and Releases Regulatory Notice on Revised NAC Sanction Guidelines |
Katten |
| Jul 15 2019 |
Bridging the Week by Gary DeWaal: July 8 – 12, and July 15, 2019 (Crypto Custody; An International Exchange and Truth; One + One = Two) |
Katten |
| May 20 2015 |
Apple-Samsung Trade Dress Case Demonstrates Potential Value of Design Patents |
Katten |
| Dec 9 2016 |
CFTC Re-Proposes Minimum Capital Requirements for Swap Dealers and Major Swap Participants |
Katten |
| Oct 30 2020 |
FINRA Adopts Rule to Restrict Registered Person’s Ability to be a Beneficiary or Hold Position of Trust |
Katten |
| Dec 12 2016 |
Bridging the Week: Dec 5 to 9 and Dec 12, 2016 (Position Limits; Aggregation; Owned Entity Exemption; Insider Trader; Manipulation) |
Katten |
| Jan 25 2019 |
FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter |
Katten |
| Oct 7 2021 |
CFTC Expanding Anti-Manipulation Powers to Punish Misrepresentations to Futures Exchanges and FCMs |
Katten |
| Feb 15 2024 |
Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability |
Katten |
| Jan 28 2019 |
Bridging the Week by Gary DeWaal: January 21 – 25 and January 28, 2019 (Security Tokens, Utility Tokens; Another Regulator’s Priorities) [Video] |
Katten |
| Mar 9 2014 |
SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments - Securities and Exchange Commission |
Katten |
| Jul 26 2019 |
CFTC Proposes Amendments to Reduce Regulatory Obligations on Certain Non-US Clearing Organizations |
Katten |
| May 19 2017 |
CFTC’s Division of Clearing and Risk Extends No-Action Relief for Shanghai Clearing House |
Katten |
| May 27 2016 |
Agencies Issue Guidance on Deposit-Reconciliation Practices |
Katten |
| May 12 2013 |
Consumer Financial Protection Bureau Releases Final Rule on International Remittance Transfers |
Katten |
