| Oct 3 2016 |
Bridging the Week: Futures Insider Trading, Artificial Prices, Theft by Convention, Whistleblowing [VIDEO] |
Katten |
| Jan 19 2016 |
Bridging the Week: January 11 – 15 and 19, 2016 (Part 30; Short Sales; Attempted Manipulation; Another Exam; More Capital, Billions) |
Katten |
| Jan 22 2018 |
Bridging the Week: January 16 to 19 and 22, 2018 (Not Feeling Groovy; Registered Investment Funds and Cryptocurrencies; Bitcoin Investment Schemes; Reg SHO) [VIDEO] |
Katten |
| Jan 25 2016 |
Bridging the Week: January 18–22 and 25, 2016 (Manipulation; CFTC's Priorities; Misstating Fees and Valuation; Canada OTC Clearing; CFTC’s Finances) |
Katten |
| Jan 29 2018 |
Bridging the Week: January 22 to 26, and 29, 2018 (Fake Coins, Real News; “It Depends” Advice; Market Abuse; Insider Information) [VIDEO] |
Katten |
| Feb 1 2016 |
Bridging the Week: January 25 – 29 and February 1, 2016 (Money Market Funds; Independent IBs; FERC Jurisdiction; Pre-Execution Communications) |
Katten |
| Jan 11 2016 |
Bridging the Week: January 4 – 8 and 11, 2016 (Spoofing; Sentinel Management; Steven A. Cohen; AML; Block Trades) |
Katten |
| Jul 31 2017 |
Bridging the Week: July 24 to 28 and July 31, 2017 (Bitcoin Derivatives Clearinghouse; Digital Tokens for Fund-Raising; Bitcoin Alleged Criminal Activity; Spoofing; Reg MAR) [VIDEO] |
Katten |
| Aug 3 2015 |
Bridging the Week: July 27 - 31 and August 3, 2015 (No Passport; Spoofing; Wash Trades; Position Limits, Bitcoin; Rogue Trading) |
Katten |
| Aug 7 2017 |
Bridging the Week: July 31 to August 4 and August 7, 2017 (Volcker; Spoofing; Distributed Ledger; New Commissioners) [VIDEO] |
Katten |
| Jun 26 2017 |
Bridging the Week: June 19 to 23 and June 26, 2017 (Costs and Benefits Don’t Add Up; Floor Trading; LOPR; MiFID II and Direct Market Access) [VIDEO] |
Katten |
| Jun 29 2015 |
Bridging the Week: June 22 to 26 and 29, 2015 (Clawbacks, Third-Party Payments, Block Trades, Trade Allocations, Governance; Reg SCI) |
Katten |
| Jun 12 2017 |
Bridging the Week: June 5-9, June 12, 2017 (SEC Disgorgement Actions Are Not Forever; Keep Suspicions in SARs; Audit Trail Requirements) [VIDEO] |
Katten |
| Mar 19 2018 |
Bridging the Week: March 12 to 16 and 19, 2018 (Swaps De Minimis Level; SLR; SEFs; Insider Trading; ICOs) [VIDEO] |
Katten |
| Mar 28 2016 |
Bridging the Week: March 21 - 25, and 28, 2016 (Spoofing; Position Limits; FINRA Authority; Large Trader Reports; Algorithmic Trading) |
Katten |
| Apr 2 2018 |
Bridging the Week: March 26 to 30 and April 2, 2018 (AML; Red Flags; Pump and Dump; Bitcoin ETFs) [VIDEO] |
Katten |
| Apr 9 2018 |
Bridging the Week: March 26 to 30 and April 2, 2018 (AML; Red Flags; Pump and Dump; Bitcoin ETFs) [VIDEO] |
Katten |
| Apr 3 2017 |
Bridging the Week: March 27 to 31 and April 3, 2017 (Regulation Through Enforcement; Produce Or Be Fined; Spoofing; Undisclosed Mark-Ups) |
Katten |
| Mar 14 2016 |
Bridging the Week: March 7 - 11, and 14, 2016 (Civil Rights Violation; Spoofing; Disorderly Liquidation; Risk Management; Disaggregation) |
Katten |
| May 8 2017 |
Bridging the Week: May 1 to 5 and May 8, 2017 (Views on Reg AT; CCO Obligations and Annual Reports; Jay Clayton; KISS and Tell) |
Katten |
| May 22 2017 |
Bridging the Week: May 15-19, May 22, 2017 (Unintended Consequences; Ransomware; Insider Trading; Alleged Lying) [VIDEO] |
Katten |
| May 23 2016 |
Bridging the Week: May 16 - 20 and May 23, 2016 (AML; Compliance Officers; Whistleblowers; Golfer) |
Katten |
| Jun 5 2017 |
Bridging the Week: May 22 to June 2 and June 5, 2017 (Spoofing Again; Principles-Based Rules Rule; Insider Trading; Source Code Theft; Whistle-Blowing While You Work) |
Katten |
| Jul 25 2016 |
Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] |
Katten |
| Nov 23 2015 |
Bridging the Week: November 16 - 20 and 23, 2015 (Personal Accountability; Dark Pools; Proprietary Trader Registration; CCO Liability Redux; WORM) [VIDEO] |
Katten |
| Nov 25 2014 |
Bridging the Week: November 17 to 21 and 24, 2014 [VIDEO] |
Katten |
| Nov 9 2015 |
Bridging the Week: November 2 - 6 and 9 2015 (Spoofing Conviction; Financial Crimes; CCOs; Tweets and Manipulation) |
Katten |
| Oct 19 2015 |
Bridging the Week: October 12 to 16 and 19, 2015 (Pre-Arranged Trades, Wash Sales, Spoofing, CCO Liability, Non-Disclosure, IBs) |
Katten |
| Oct 20 2014 |
Bridging the Week: October 13 to 17 and 20, 2014 (Marking the Close; CPO Delegation; Clearinghouse Recovery; To Tweet or Not to Tweet) |
Katten |
| Oct 23 2017 |
Bridging the Week: October 16 – 20 and October 23, 2017 (Cryptocurrencies Primer; Pre-Open; EFRPs; Spoofing Again) |
Katten |
| Oct 26 2015 |
Bridging the Week: October 19 to 23 and 26, 2015 (Automated Trading Controls; Too Much Regulation; Spoofing; Evasion; Customer Funds Investments) |
Katten |
| Oct 9 2017 |
Bridging the Week: October 2 – 6 and October 9, 2017 (SEC/CFTC – Coordinate and Harmonize, Don’t Merge; Source Code Proposal: Dead; Wishes May Come True) |
Katten |
| Nov 1 2017 |
Bridging the Week: October 23 – 27 and October 30, 2017 (Trade Reporting; Front-Running; More Regulatory Improvements; DLT Space Among Enforcement Priorities) |
Katten |
| Oct 31 2016 |
Bridging the Week: October 24 to 28 and October 31, 2016 (Tipper and Tippees; Block Pre-Hedging; Regulation AT Amendments; FINRA, SEC Sweep) |
Katten |
| Nov 2 2015 |
Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) |
Katten |
| Oct 12 2015 |
Bridging the Week: October 5 to 9 and 12, 2015 (Spoofing; Politics; Non-Public Information Sharing; Inadequate Disclosures) |
Katten |
| Oct 13 2014 |
Bridging the Week: October 6 to 10 and 13, 2014 [VIDEO] |
Katten |
| Oct 16 2017 |
Bridging the Week: October 9 – 13 and October 16, 2017 (Spoofing; Supervision; De Minimis Threshold; Automated Trading System Gone Bad) [VIDEO] |
Katten |
| May 2 2016 |
Bridging the Week: Report Cards; EFRPs; Market Disruption; HFT; Algorithmic Trading; Cybersecurity [VIDEO] |
Katten |
| Oct 4 2017 |
Bridging the Week: September 11 to 15 and September 18, 2017 (ICOs; Digital Tokens; Spoofing; Advertising Standards) |
Katten |
| Sep 21 2015 |
Bridging the Week: September 14 to 18 and 21, 2015 (Virtual Currencies; Large Trader Reports; Leverage Ratio; Penson; Double Jeopardy; LME Position Limits) |
Katten |
| Oct 5 2015 |
Bridging the Week: September 21 to 25 and 28, 2015 (Aggregation, Cybersecurity, Wash Sales, Fund Redemptions, IB Records, CTA Registration) |
Katten |
| Oct 4 2017 |
Bridging the Week: September 25 to 29 and October 2, 2017 (Failure to Supervise Redux; Where Are the Digital Coins?; CFTC’s New Enforcement Math) |
Katten |
| Oct 6 2015 |
Bridging the Week: September 28 to October 2 and October 5, 2015 (MiFID II; Faulty Software; Bad Reports; Delayed Reports) |
Katten |
| Jul 18 2016 |
Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions |
Katten |
| Aug 29 2016 |
Bridging the Week: Summarily Barred, False Performance Data, Inadequate Disclosure, Grass Is Greener (August 22 to 26 and August 29, 2016) [VIDEO] |
Katten |
| Jun 20 2016 |
Bridging the Week: Who’s a Customer?; Front-Running; Spoofing; Block Trades; Red Flags |
Katten |
| Jul 23 2018 |
Bridging the Weeks by Gary DeWaal: Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction |
Katten |
| Jan 7 2019 |
Bridging the Weeks by Gary DeWaal: December 17, 2018 – January 4, 2019, and January 7, 2019 (Examination Priorities; AML Fines; Effective Cybersecurity Practices) |
Katten |
| Feb 7 2020 |
Bridging the Weeks by Gary DeWaal: December 23, 2019, to January 10, 2020, and January 13, 2020 (Examination Priorities; Slow Down, You Move Too Fast; Disruptive Trading) |
Katten |
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