Adam P. HaftAssociateKatten Websitekatten.comOrganization ProfileFull ProfileConnectEmail212.940.6489 Professional Biography Adam Haft is an associate in the Financial Services practice. Bar Admissions New York More Legal and Business Bylines From Adam P. Haft SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS - (Posted On Friday, September 13, 2019) FDIC Approves Amendments to the Volcker Rule - (Posted On Friday, August 23, 2019) FINRA Issues Regulatory Notice Reminding Members of the SEC’s Adoption of a Best Interest Standard of Conduct - (Posted On Friday, August 09, 2019) SEC Adopts Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Participants - (Posted On Saturday, June 29, 2019) FINRA Files Proposed Rule Change to Public Communications and Research Reports - (Posted On Saturday, June 29, 2019) SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors - (Posted On Sunday, June 09, 2019) SEC Approves Amendments to FINRA’s Codes of Arbitration Procedure for Customer and Industry Disputes - (Posted On Friday, June 07, 2019) NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet - (Posted On Friday, June 07, 2019) OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P - (Posted On Friday, April 26, 2019) FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing - (Posted On Friday, April 26, 2019) Pagination Previous page ‹ Previous Page 4 Next page Next › Current Legal Analysis GeTtin' SALTy Episode 32 | A Conversation with the Tax Foundation about Oregon Initiative Petition 17 by: Nikki E. Dobay Employment Law This Week Episode 352 - Chevron Deference Overturned [Video, Podcast] by: George Carroll Whipple, III What Every Multinational Company Should Know About … Antiboycott Regulations Red Flags (Red Flags Series Part III) by: Gregory Husisian , John E. Turlais Protecting Employees’ Tax Position After a Spin-off by: Rob Marshall Fair Labor Standards Act – New Compensation Guidelines by: David T. Harmon FACING THE TEXAS HEAT: Court Holds Working With An Unregistered Telemarketer in Texas Can Be A Costly Mistake by: Eric J. Troutman Upcoming Legal Education Events Oct 9 2024 Government Contracts Annual Update 2024 Sep 6 2024 Public Company Shareholder Engagement Summit Sep 6 2024 2024 Employment Law Symposium Aug 28 2024 REACH 30/30 - 28 August 2024 Print