| Aug 3 2016 |
Proposed Treasury Regulations Provide Additional Flexibility, Clarity and Planning Opportunities to Sponsors of Deferred Compensation Arrangements |
Katten |
| Mar 15 2019 |
Report from FINRA Board of Governors Meeting: Board Approves Rule Proposals, Engages with Boca Raton-Area Firms |
Katten |
| Oct 11 2019 |
CFTC to Hold Open Commission Meeting on October 16 |
Katten |
| Jan 17 2015 |
New Law Aligns Clearing and Margin Exceptions for Swaps |
Katten |
| Oct 18 2019 |
CFTC Approves Proposed Rules Relating to Uncleared Swaps |
Katten |
| Sep 16 2013 |
SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule 204 of Regulation SHO |
Katten |
| Aug 8 2017 |
Between Bridges: Federal Appeals Court Upholds Conviction and Sentencing of First Person Criminally Charged for Spoofing Under Dodd-Frank Prohibition |
Katten |
| Feb 5 2016 |
CFTC Approves Derivative Clearing Organization Registration Order for Eurex Clearing AG |
Katten |
| Mar 22 2019 |
Banking Regulators Adopt Swap Margin Safe Harbor |
Katten |
| Dec 18 2012 |
SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives |
Katten |
| Aug 12 2016 |
FINRA Requests Comments on Proposed Gift, Gratuities and Non-Cash Compensation Rule Amendments |
Katten |
| May 1 2024 |
NAD Following FTC's Footsteps in AI Regulation |
Katten |
| Jun 23 2022 |
SEC Proposes Additional ESG Disclosure Requirements for Regulated Funds and Related Expansion of Investment Company Act "Names Rule" |
Katten |
| Sep 7 2018 |
Amended FINRA Registration Rules To Take Effect October 1 |
Katten |
| Jan 29 2015 |
You Say “Tom‘ah’to,” I Say “Tom‘ay’to”: Determining the Correct Pronunciation of Uniquely Coined Trademarks |
Katten |
| Aug 14 2015 |
Federal Reserve Issues Clarification of Debit Card Interchange Rule in Response to Court Action |
Katten |
| Feb 1 2015 |
SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S |
Katten |
| Mar 30 2019 |
CFTC Small Business Rule and Brexit Provisions |
Katten |
| Feb 12 2016 |
European Commission and CFTC Announce Harmonized Approach to CCPs |
Katten |
| Feb 2 2018 |
FTC Releases Revised Hart-Scott-Rodino Filing Thresholds for 2018 |
Katten |
| Aug 18 2017 |
SEC Staff Issues Information Update for Advisers Filing Certain Form ADV Amendments |
Katten |
| Aug 21 2015 |
CFTC Proposes Cleared Swap Reporting Amendments |
Katten |
| Feb 17 2016 |
Further Relaxation of Sanctions for Commercial Aircraft Operations in Cuba |
Katten |
| Aug 26 2016 |
CFTC Issues No-Action Letter Regarding Use of Security-Based Swaps in Initial Margin Calculations for Uncleared Swaps |
Katten |
| Apr 7 2019 |
CFTC Issues No-Action Relief for Prime Brokerage Trading on SEFs |
Katten |
| Aug 25 2017 |
SEC Approves NYSE Amendments Regarding Notice Related to Dividends and Stock Distributions |
Katten |
| Sep 24 2018 |
SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models |
Katten |
| Oct 21 2013 |
Life, Liberty and the Pursuit of Fraud: Using Wartime Powers to Extinguish Statutes of Limitations |
Katten |
| Sep 1 2017 |
DOL Proposes 18-Month Extension of Transition Period for Compliance With ERISA "Fiduciary Investment Advice" Rule |
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 |
| Feb 29 2016 |
Bridging the Week: February 22–26 and 29, 2016 (Position Limits; Short Sales; Canadian Derivatives; Form PR) |
Katten |
| Oct 28 2013 |
Agencies Issue Guidance on Troubled Debt Restructurings |
Katten |
| Sep 9 2016 |
CFTC Issues Comparability Determination for Japan Uncleared Swap Margin Rules |
Katten |
| Nov 22 2019 |
FINRA Proposes Limitations on Serving as a Customer’s Beneficiary |
Katten |
