| Oct 11 2019 |
FINRA Provides Member Firms with New Reg BI and Form CRS Resources |
Katten |
| Mar 27 2020 |
SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19 |
Katten |
| Aug 24 2018 |
President Trump Asks SEC To Explore Replacing Quarterly Reporting With Half-Yearly Reporting |
Katten |
| Aug 8 2017 |
New Partnership Audit Regime Set to Take Effect in 2018, Proactive Planning Recommended |
Katten |
| Mar 22 2019 |
CFTC Announces Energy and Environmental Markets & Global Markets Advisory Committee Meetings |
Katten |
| May 24 2023 |
Bankers' Associations File Challenge to CFPB Small Business Data Collection Rule |
Katten |
| Jan 30 2015 |
SEC Announces Proxy Voting Roundtable |
Katten |
| May 3 2024 |
US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern |
Katten |
| Dec 17 2012 |
CFTC Issues No-Action Letters |
Katten |
| Jan 8 2021 |
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements |
Katten |
| Jun 20 2014 |
Supreme Court Rules Patent Claims Ineligible as Abstract Ideas, Affirming Federal Circuit in Alice Corp Pty. Ltd. V. CLS Bank Int'l |
Katten |
| Feb 19 2016 |
CFTC Grants Relief to Certain Non-U.S. Intermediaries |
Katten |
| Sep 10 2018 |
Bridging the Week by Gary DeWaal: August 27 to September 7 and September 10, 2018 (Quantitative Models; Cross-Border Swaps Guidance; The Meanings of “Or” and “Actual Delivery”) |
Katten |
| May 31 2023 |
SEC Adopts Final Rule Amendments to Form PF |
Katten |
| Jun 20 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 2360 |
Katten |
| Mar 29 2019 |
CFTC Staff Issues Research Report on Impact of Automated Orders in Commodity Futures Markets |
Katten |
| Jan 11 2021 |
PPP 2 LOANS —A Second Opportunity for Eligible Businesses to Obtain Forgivable Loans |
Katten |
| Dec 26 2012 |
No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net Capital and Customer Protection Rules |
Katten |
| Dec 27 2012 |
Significant New Fees for Group Health Plans in 2014-2016 |
Katten |
| Nov 2 2019 |
SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods |
Katten |
| Feb 7 2015 |
Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models |
Katten |
| Oct 5 2013 |
SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel |
Katten |
| Jul 29 2020 |
Second Quarter Reporting — Recent SEC Guidance on COVID-19-Related Disclosure |
Katten |
| Apr 7 2019 |
CFTC Issues No-Action Relief for Prime Brokerage Trading on SEFs |
Katten |
| Jul 31 2020 |
Securities and Exchange Commission (SEC) This Week |
Katten |
| Sep 6 2016 |
Proposed Regulations Under Internal Revenue Code Section 2704: Changes May Be Coming to Transfers of Closely Held Business Interests |
Katten |
| Feb 17 2017 |
FINRA Proposes Amendments to Rule Pertaining to Communications with the Public |
Katten |
| Jan 15 2021 |
Holding Foreign Companies Accountable Act Signed Into Law by President Trump |
Katten |
| Jan 15 2021 |
2021 Biden Plan Estate Planning Advisory |
Katten |
| Dec 26 2021 |
Securities Regulatory and Enforcement: Four Asset Management Trends |
Katten |
| Sep 1 2017 |
SEC and Staff Issue Interpretative Guidance on Revenue Recognition |
Katten |
| Oct 27 2013 |
Commodity Futures Trading Commission (CFTC) Provides Clarification for Swap Dealer (SD) and Major Swap Participant (MSP) Employees Acting in Clerical or Ministerial Capacities |
Katten |
| Jul 11 2014 |
SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation |
Katten |
| Sep 16 2016 |
SEC Chair Gives Speech on Equity Market Structure |
Katten |
| Nov 22 2019 |
FINRA Proposes Limitations on Serving as a Customer’s Beneficiary |
Katten |
