Securities & SEC

The National Law Review provides readers the latest information, legislation, and news regarding Securities and the SEC, from the Securities and Exchange Commission (SEC) and topics covered under the Securities Exchange Act of 1934.

Securities Exchange Commission

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The National Law Review covers news and updates coming out of the SEC, including information about updates on the US SEC EDGAR system and related requirements, rules designed to limit and enforce rules against Insider Trading and Anti-Money Laundering settlements. Additionally, analysis of the SEC Division of Investment Management leadership and proposed rulemakings. 

CFTC & FINRA

Commodities Futures and Trading Commission (CFTC) topics are discussed as they unfold on the NLR. Readers can learn about the latest cybersecurity regulations for companies engaging in bitcoin transactions, and how businesses can accept cryptocurrencies as valid, legal-tender. They can read about how M&A transactions are affected by tax-legislation, new legislation and regulations related to insider-trading, learn about ‘no-poach’ agreements, to securities fraud with the news covered online.  Additionally, the National Law Review covers information related to the Financial Industry Regulatory Authority (FINRA), including rule changes related to the organization and updates on FINRA enforcement priorities.

Securities around the World

The European Securities and Markets Authorities (ESMA) and Australian Securities and Investment Commission (ASIC) news and information, is also prominently covered on The National Law Review. So, foreign investors, US-based businesses, tax implications, and other topics which revolve around the international-realm, and securities, can be found on NLR.

Visitors will find both national and international news and cases surrounding the SEC, securities regulation commissions, and international-Securities markets. Whether readers are interested in learning about new legislation, upcoming changes to Visa programs or possible tax concerns with their foreign investments, The National Law Review has up to date news, and cases, which will cover these, and any other topics of interest in the securities market.

For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.

Custom text Title Organization
Mar
29
2015
 SEC Adopts Final Rules for Regulation A+ Offerings Katten
Apr
10
2015
 SEC Secures Victory on Fraud Allegations Against Technology Executive Katten
Dec
4
2020
 SEC Announces Proposed Amendments to Rule 701 and Form S-8 Katten
Dec
11
2020
 CFTC Interprets and Issues No-action Relief from Certain Clearing and Trade Execution Requirements & Provides Further Brexit-Related Relief to Provide Market Certainty Katten
Jan
8
2021
 SEC Digital Asset Securities, Internal Security-Based Swaps Joint Venture Statements Katten
May
11
2015
 Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 Katten
Jan
29
2021
 FCA Publishes SEC MoU on Financial Services Supervision Post-Brexit Katten
Feb
5
2021
 SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report Katten
May
26
2015
 Form BE-10 Filing Deadline Looms re: Foreign Investments by U.S. Persons Katten
Jun
5
2015
 FINRA Proposes Revised BrokerCheck Hyperlink Rule Katten
Jun
19
2015
 SEC Requests Public Comment on ETPs Katten
Jul
11
2015
 ESMA Publishes Final Report on Draft Rules Under MiFID II Katten
Jul
24
2015
 Claiming Tipper Received No Benefit, Defendant Invokes Newman in Seeking to Dismiss Insider Trading Allegations Katten
Jul
31
2015
 ESMA Consultation on New Remuneration Rules for EU UCITS Managers and EU AIFMs Katten
Sep
14
2015
 Bridging the Weeks: August 31 to September 11 and September 14, 2015 (Spoofing, Individual Accountability, Cybersecurity, Audit Opinions, Hedging and Reporting) 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
6
2015
 Bridging the Week: September 28 to October 2 and October 5, 2015 (MiFID II; Faulty Software; Bad Reports; Delayed Reports) Katten
Dec
11
2015
 FAST Act Legislation and Impact on Securities Law Katten
Dec
26
2021
 Securities Regulatory and Enforcement: Four Asset Management Trends Katten
Jan
10
2016
 Revised Pay-to-Play Rules Katten
Jan
15
2016
 2016 Examination Priorities Announced By SEC Katten
Jan
22
2016
 SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors Katten
Mar
25
2016
 SEC Issues New C&DI Relating to Description of Shareholder Proposals on Proxy Cards Katten
Apr
22
2016
 SEC Adopts Business Conduct Rules and Chief Compliance Officer Requirements for Swap Dealers and Major Security-Based Swap Participants Katten
May
9
2016
 European Commission Publishes Staff Working Document on Capital Markets Union Crowdfunding Katten
May
27
2016
 SEC Releases Target Dates for Proposed and Final Rulemaking Katten
Jun
24
2016
 SEC Announces Self-Reporting Initiative for Broker-Dealers Who Have Failed To Comply With Its Customer Protection Rule Katten
Jul
11
2016
 SEC Approves Consolidated FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) Katten
Jul
17
2016
 ESMA Publishes Responses to Benchmark Regulation Consultation Katten
Sep
16
2016
 SEC Chair Gives Speech on Equity Market Structure Katten
Sep
30
2016
 SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies Katten
Mar
9
2017
 Registered Investment Advisers Take Note: New SEC Custody Rule Guidance Katten
Aug
29
2022
 SEC Proposes to Clear-Up Clearing Agencies' Governance to Mitigate Directors' Potential Conflicts of Interest Katten
May
22
2017
 Bridging the Week: May 15-19, May 22, 2017 (Unintended Consequences; Ransomware; Insider Trading; Alleged Lying) [VIDEO] Katten
Jun
17
2017
 FINRA Proposes Rule Change to Extend the Implementation of Margin Requirements for Credit Default Swaps Katten
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