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
Jun
27
2016
 Bridging the Week: Brexit; Reg AT; Reserve and Control; Hacking; Manipulation; Block Trades; EFRPs Katten
Aug
5
2016
 FINRA Adopts Amendments on Resumption of Trading Katten
Sep
2
2016
 SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories Katten
Nov
4
2016
 SEC Adopts Amendments to Rules 147 and 504, Adopts Rule 147A and Repeals Rule 505 Katten
Feb
10
2017
 Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule Katten
Jun
23
2022
 SEC Proposes Additional ESG Disclosure Requirements for Regulated Funds and Related Expansion of Investment Company Act "Names Rule" Katten
Jul
21
2017
 SEC Chairman Clayton Makes First Public Speech Outlining His Vision for the Commission Katten
Oct
6
2017
 SEC Provides Regulatory Relief to Companies Impacted by Recent Hurricanes Katten
Dec
3
2012
 SEC Posts Small Entity Compliance Guide Regarding Conflict Minerals Disclosure Katten
Dec
8
2012
 CFTC Grants Temporary No-Action Relief from Clearing Requirement for Swaps Between Affiliated Counterparties Katten
Dec
16
2012
 FSA Expresses Concerns About Outsourcing by Asset Managers Katten
Jan
6
2018
 ESMA Publishes Statement on LEIs under MiFIR Katten
Jan
12
2013
 NYSE Eliminates Certain Equities Account Type Indicators Katten
Jan
26
2018
 FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination Katten
Feb
3
2013
 Fourth Circuit Affirms Finding of No Fifth Amendment Violation in Connection with 45-Year Conviction for $100 Million Investment Scheme Katten
Mar
2
2013
 One-Day Prohibition Imposed on Short Selling of Four Italian Shares by United Kingdom (UK) Katten
Mar
27
2023
 UK High Court Hands Down Decision in Sova Capital Katten
Mar
16
2013
 Texas District Court Addresses Misappropriation Theory of Insider Trading Katten
Apr
15
2018
 Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits Katten
May
4
2018
 SEC Proposes Conduct Standards for Investment Advisers Katten
Apr
1
2013
 FINRA Proposed Rule Change to Extend Temporary Limit on Application of FINRA Rules to Security-Based Swaps Katten
Apr
7
2013
 Attacks on Proxy Statement Equity Compensation Disclosure Katten
May
10
2013
 Whistleblower’s Claims Against Former Employer Survive Summary Judgment Katten
Jun
1
2013
 National Futures Association (NFA) Issues Notice to Members Regarding Section 16 Financial Requirements for Cleared Swaps Customer Collateral Katten
Aug
6
2018
 Bridging the Weeks by Gary DeWaal: July 23 to August 3 and August 6, 2018 (Post-Trade Allocations; Exchange-Traded Products; Statutory Requirements) Katten
Aug
23
2013
 Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also Adopts Changes Applicable to All CPOs Katten
Jan
4
2019
 FINRA Files Proposed Rule Change Regarding Arbitration Subpoenas, Orders of Appearance of Witnesses and Production of Documents Katten
Jan
25
2019
 ESMA Updates MiFID II Transitional Transparency Calculations for Electricity Derivatives Katten
Feb
15
2019
 ESMA Publishes List of Thresholds Below Which an EU Prospectus Is Not Required Katten
Sep
18
2023
 The Post-Brexit Future of the UK’s Securitisation Regime Takes Shape Katten
May
24
2019
 FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines Katten
Jan
6
2014
 Commodity Futures Trading Commision (CFTC) Issues No-Action Relief Regarding Annual Reports by Chief Compliance Officers Katten
Oct
10
2023
 SEC Adopts Amendments to 'Names Rule' Impacting Regulated Investment Funds Katten
Jul
12
2019
 CFTC and SEC Propose Changes to Margin Requirements for Security Futures Katten
Jul
19
2019
 FINRA Publishes Guidance on Public Offering Review Process and Private Placement Filings Katten
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