Katten Muchin Rosenman LLP

ID: 1b830a36-2619-30fb-68c4

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Organization: Katten Muchin Rosenman

FINRA Releases Regulatory Notice on Revised NAC Sanction Guidelines

Corporate & Financial Weekly Digest · October 23, 2020

FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules

Corporate & Financial Weekly Digest · October 2, 2020

SEC Staff to Host Roundtable on Regulation Best Interest and Form CRS on October 26

Corporate & Financial Weekly Digest · October 2, 2020

CFTC Further Extends Certain No-Action Relief to Market Participants in Response to COVID-19

Corporate & Financial Weekly Digest · September 18, 2020

CFTC Staff Provides No-Action Relief to Registrant from SEF Reinstatement Requirements

Corporate & Financial Weekly Digest · September 18, 2020