| Jul 31 2017 |
NFA Adopts 4s Attestation Process for Swap Dealers and Major Swap Participants |
Katten |
| Jan 11 2015 |
CFTC Staff Issues Guidance Regarding Chief Compliance Officer Annual Reports |
Katten |
| Aug 13 2018 |
Bridging the Week by Gary DeWaal: August 6 to 10 and August 13, 2018 (Spoofing; Post-Trade Allocations; Wash Trades; Supervision; Cryptocurrency Activities) |
Katten |
| Aug 19 2013 |
Commodity Futures Trading Commission (CFTC) Proposes Rules for Systemically Important Derivatives Clearing Organizations (SIDCO) to Conform to International Standards |
Katten |
| Mar 27 2020 |
The CARES Act: An Overview of Programs Impacting Financial Businesses |
Katten |
| Apr 6 2013 |
Commodity Futures Trading Commission (CFTC) Staff Issues No-Action Letters |
Katten |
| Aug 25 2013 |
Federal Reserve Issues Paper on Capital Planning and Rule for Assessments for Large Banks |
Katten |
| Feb 3 2017 |
Treasury Form SHC and Private Fund Advisers |
Katten |
| Aug 24 2018 |
SEC Disapproves Bitcoin Exchange-Traded Products |
Katten |
| Jan 23 2015 |
NFA (National Futures Association) Increases Minimum Security Deposits for Forex Transactions |
Katten |
| Jan 26 2018 |
FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination |
Katten |
| Aug 31 2018 |
CFTC Releases No-Action Position on PCAOB Requirement to Communicate Critical Audit Matters |
Katten |
| Nov 1 2019 |
SEC Issues Order Instituting Proceedings Regarding CBOE’s Proposed Rule Change on Off-Floor Position Transfers |
Katten |
| Sep 14 2013 |
Commodity Futures Trading Commission (CFTC) Grants Relief to CPOs Trading Through Subsidiaries |
Katten |
| Jun 13 2014 |
SEC Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers |
Katten |
| Sep 23 2013 |
Securities and Exchange Commission (SEC) Issues Risk Alert on Short Selling in Connection with a Public Offering |
Katten |
| Feb 12 2016 |
Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) |
Katten |
| Feb 6 2015 |
Chicago Board Options Exchange (CBOE) Proposes to Amend Order Ticket Requirements for Certain Orders |
Katten |
| Apr 4 2020 |
Congress CARES About Employee Benefits |
Katten |
| Aug 26 2016 |
SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K |
Katten |
| Nov 15 2019 |
CFTC Proposes Rule to Amend Regulation 160.30 |
Katten |
| Sep 21 2018 |
CFTC Announces Technology Advisory Committee Meeting |
Katten |
| Aug 5 2020 |
Supreme Court Issues Two Lanham Act Decisions |
Katten |
| Oct 5 2013 |
Update on Government Shutdown's Impact on Trade |
Katten |
| Aug 6 2020 |
Augmented Reality Marketing Campaigns and the California Consumer Privacy Act |
Katten |
| Aug 28 2015 |
Anti-Money Laundering Program and Suspicious Activity Report Filing for Investment Advisers |
Katten |
| Feb 12 2018 |
Conforming Amendments Proposed for Bank Swap Margin Rules |
Katten |
| Jun 28 2014 |
NFA (National Futures Association) Proposes Interpretive Notice Prohibiting the Use of Credit Cards to Fund Retail Forex or Futures Trading Accounts |
Katten |
| Sep 2 2016 |
CFTC Proposes Amendments to Whistleblower Awards Process |
Katten |
| Apr 19 2019 |
SEC Approves FINRA Rule Change to Permit the Use of Electronic Signatures for Discretionary Accounts |
Katten |
| Feb 26 2016 |
FDIC Approves Proposal on Deposit Recordkeeping Requirements in Large Bank Failures |
Katten |
| Apr 23 2019 |
Additional Proposed Regulations Issued Regarding Opportunity Zones |
Katten |
| Aug 14 2020 |
Use of Residual-Value Insurance to Support Debt Repayment in Leveraged Aircraft Leases |
Katten |
| Apr 26 2019 |
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing |
Katten |
| Apr 10 2020 |
SEC Chairman and Division of Corporation Finance Director Issue Statement Further Addressing COVID-19 Related Disclosures |
Katten |
