| Aug 19 2016 |
Financial Industry Regulatory Authority Files Proposed Amendment to FINRA Rule 2232 |
Katten |
| Mar 31 2020 |
Between Bridges by Gary DeWaal: March 30, 2020 (Unregistered Digital Securities Offering; Risk Management Breakdown; COVID-19) |
Katten |
| Dec 22 2012 |
CFTC Approves Final Rule Requiring Recording of Oral Communications |
Katten |
| Mar 30 2019 |
CFTC Small Business Rule and Brexit Provisions |
Katten |
| Jan 30 2015 |
Hong Kong Study Finds Executive Compensation Clawback Provisions Do Not Eliminate Possible Earnings Manipulation |
Katten |
| Aug 26 2016 |
NFA Issues Notice Regarding the Designation of Executive Representatives for Electronic Voting Purposes |
Katten |
| Sep 14 2018 |
CFTC and Monetary Authority of Singapore Sign Arrangement To Cooperate on FinTech Innovations & NFA Issues Notice of Effective Date for Amendments to Security Futures Contracts’ Risk Disclosure Statement |
Katten |
| May 31 2023 |
Bored Ape Yacht Club NFT Drama Isn’t Boring At All |
Katten |
| Sep 15 2013 |
Commodity Futures Trading Commission (CFTC) Issues Concept Release on Automated Trading |
Katten |
| Jul 24 2020 |
SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice |
Katten |
| Jan 11 2013 |
Institutional Shareholder Services "ISS" Publishes Updated FAQs for its Proxy Voting Policies |
Katten |
| Jun 13 2014 |
US Marshals Service Announces Auction of Silk Road Bitcoins |
Katten |
| Feb 6 2015 |
Regulators Release Guidance on Private Student Loans With Graduated Repayment Terms at Origination |
Katten |
| Apr 7 2019 |
CFTC Issues No-Action Relief for Prime Brokerage Trading on SEFs |
Katten |
| Feb 26 2016 |
FINRA Requests Information Regarding Firm Culture and Values |
Katten |
| Sep 2 2016 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 |
Katten |
| Sep 21 2018 |
CBOE Proposes Rule Change Relating to Qualification Examinations |
Katten |
| Sep 20 2013 |
Commodity Futures Trading Commission (CTFC) Seeks Comments on Amended Exchange for Related Position (EFRP) Rule |
Katten |
| Jan 11 2021 |
Protecting a Lessor Against the Recharacterization in Bankruptcy of a Full Payout Aircraft Lease as a Disguised Security Agreement |
Katten |
| Sep 6 2016 |
New FDA Regulations for OTC Antibacterial Hand and Body Washes |
Katten |
| Feb 27 2017 |
EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules |
Katten |
| Feb 17 2015 |
CFTC Extends Relief From Certain Ownership and Control Reporting (OCR) Requirements |
Katten |
| Aug 4 2020 |
Gambling With Graffiti: Using Street Art on Goods or in Advertising Comes With Significant Risks |
Katten |
| Sep 4 2015 |
NFA Announces Effective Date of Enhanced Retail Forex Requirements |
Katten |
| Mar 2 2017 |
President Trump Issues Executive Order Directing EPA to Review the WOTUS Rule |
Katten |
| Jan 26 2013 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on "Futurization" of Swaps |
Katten |
| Nov 22 2019 |
FINRA Proposes Limitations on Serving as a Customer’s Beneficiary |
Katten |
| Feb 20 2018 |
Between Bridges – February 19, 2018: CFTC Says Futures Brokerage Firm’s Failure to Supervise Led to Unauthorized Cyber Attack; Trader Criminally Charged for Allegedly Misappropriating Employer’s Cryptocurrencies |
Katten |
| Dec 27 2022 |
SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies |
Katten |
| Mar 6 2017 |
Bridging the Week: EFRPs; Sanctions; Regulator Hide and Seek; Red Flags Missed Again February 27 to March 3 and March 6, 2017 |
Katten |
| Jun 27 2014 |
Supreme Court Decides Halliburton Co. v. Erica P. John Fund, Inc. |
Katten |
| Sep 11 2015 |
NYSE Proposes Rule To Expand Pre-market Notice Period Prior To Disseminating Material News |
Katten |
| Feb 23 2018 |
CFTC and UK Financial Conduct Authority Sign Cooperation Arrangement on Financial Technology Innovation |
Katten |
| Feb 9 2013 |
Institutional Shareholder Services ("ISS") Announces New Governance QuickScore Will Replace Governance Risk Indicators (GRId) to Identify Risks Within a Company |
Katten |
| Dec 6 2019 |
CFTC December Meetings |
Katten |
