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Results: 1-10 of 1,279

New Names Added to OFAC’s Specially Designated Nationals List
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

The Office of Financial Assets Control of the US Department of Treasury has added a few names to its specially designated nationals list. This list


CFPB Requests Information Regarding the Small Business Lending Market
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 10, the Consumer Financial Protection Bureau (CFPB) held a field hearing and issued a notice and request for information related to the small


Acting CFTC Chairman Giancarlo Gives Rehearsal Speech to ISDA Prior to Senate Committee Confirmation Hearing
  • Katten Muchin Rosenman LLP
  • USA
  • May 14 2017

In an address before the 32nd annual meeting of the International Swaps and Derivatives Association in Lisbon, Portugal, last week, J. Christopher


CFPB’s Prepaid Cards Rule Escapes Coverage Under the Congressional Review Act
  • Katten Muchin Rosenman LLP
  • USA
  • May 12 2017

Under the Congressional Review Act (CRA), Congress can review and overrule any federal regulations imposed during the final six months of the


Major International Bank and Affiliates Settle With Federal Reserve for Alleged Deficiencies in FX Trading Practices and Volcker Rule Compliance
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2017

Deutsche Bank AG ("DB AG"), DB USA Corporation and Deutsche Bank AG New York Branch (collectively, "DB") agreed to pay an aggregate fine of


Sanction Guidelines Updated by FINRA
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2017

The National Adjudicatory Council of the Financial Industry Regulatory Authority updated its sanction guidelines for use by hearing panels and the NAC


SEC Chairman Nominee Urges Making US Capital Markets Great Again
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

During testimony before the Senate Committee on Banking, Housing and Urban Affairs last week, Jay Clayton - nominated by President Donald Trump to


FINRA to Industry: Can We Talk More?
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

The Financial Industry Regulatory Authority sought comment on how to enhance its interactions with members and other stakeholders to better


FINRA Seeks Comment on Engagement Programs
  • Katten Muchin Rosenman LLP
  • USA
  • March 24 2017

The Financial Industry Regulatory Authority has issued a notice requesting public comment on how to improve industry and public engagement. The


CTA and Principal Barred From NFA Membership for Failing to Cooperate in Examination
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

For the second week in a row, a panel of the Hearing Committee of the National Futures Association banned a firm and an individual principal and