Nov 30, 2022 ICE Futures US Equity Basis Block Trades: A New Way to Price Block Trades in Certain Equity Index Futures By Stephen Morris Effective December 13, 2022, ICE Futures U.S. (IFUS) is implementing new functionality under its block trade rule permitting dealers to...
Nov 23, 2022 New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules By Johnjerica Hodge On November 22, 2022, the U.S. Department of Labor (DOL) announced a final rule promulgated by the Employee Benefits Security...
Nov 18, 2022 Katten Pro Bono Trailblazer Recognized as 'Champion of Justice' by Chicago Lawyers' Committee for Civil Rights By Katten Cares At its November gala, the Chicago Lawyers’ Committee for Civil Rights (CLCCR) celebrated Jonathan Baum as its “Champion of Justice.” One...
Nov 17, 2022 Complaint Brought Against Massachusetts for Installing Covid App Tracking Software Collecting Location and Health Data By Trisha Sircar On November 14, 2022, Massachusetts residents Robert Wright and Johnny Kula filed a proposed class action lawsuit in the US District...
Nov 15, 2022 40 States Reach Historic Settlement with Google Regarding Location-Tracking in the amount of $391.5m By Trisha Sircar In the largest multistate privacy settlement in U.S. history, Google has agreed to a $391.5m settlement with 40 states in connection with...
Nov 10, 2022 Financial Institutions Require More Oversight of Cybsersecurity Risk under NYDFS By Trisha Sircar The New York Department of Financial Services (NYDFS) has published a proposal to amend its cybersecurity rules, which will require...
Nov 09, 2022 Gil Soffer Presenting on Critical Insights into DOJ Health Care Enforcement Priorities and Investigation Tactics By Katten Events Managing partner of Katten's Chicago office and national co-chair of the Litigation practice, Gil Soffer, will be participating in the...
Nov 07, 2022 Sale of Crypto Assets by Promoter Held to Be Sale of Securities Despite Claimed Utility Use of Digital Assets by at Least Some Purchasers By Dan Davis Cryptoassets issued and promoted by LBRY, Inc. (LBRY) and sold directly to investors constituted investment contracts and thus...
Nov 04, 2022 So Who Does Need to Register as a SEF? By Stephen Morris In September 2021 CFTC staff issued an advisory (Letter 21-19) “reminding entities” of SEF registration requirements. The “entities”...
Nov 04, 2022 New CLE Requirements for New York Attorneys Effective July 1, 2023 By Trisha Sircar Effective July 1, 2023, New York attorneys must complete 1 CLE credit hour in the new Cybersecurity, Privacy and Data Protection category...
Nov 02, 2022 SEC to Inspect Firms for Compliance With New Advertising and Solicitation Rule By Katten November 4 is the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule...