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
Sep
1
2017
 New FCA Web Page on Position Limits for Commodity Derivative Contracts Under MiFID II Katten
Oct
4
2017
 Bridging the Weeks: August 28 to September 8 and September 11, 2017 (Retail Precious Metals Transactions; Spoofing and Market Manipulation; ICOs; Supervision) Katten
Dec
14
2023
 FINRA Acts to Update its Advertising Rule Katten
Dec
22
2023
 The SEC's Treasury Clearing Mandate Katten
Dec
23
2012
 Additional Guidance Provided on FINRA's Suitability Rule Katten
Jan
12
2018
 FINRA Releases 2018 Regulatory and Examination Priority Letter Katten
Jan
7
2013
 National Futures Association "NFA" Issues Guidance on Bylaw 1101 Compliance for Pending Introducing Brokers Katten
Jan
19
2013
 SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification Program Obligations Katten
Mar
26
2018
 Bridging the Week by Gary DeWaal: March 19 to 23 and March 26, 2018 (Howey; ICOs; Virtual Currencies; Actual Delivery) Katten
Mar
24
2013
 FINRA's Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time Katten
Mar
31
2013
 SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin Requirements for Credit Default Swaps Katten
Apr
6
2013
 Southern New York District Court Rejects Evidence from "Confidential Witnesses" as Basis for Securities Class Action Katten
Apr
26
2013
 Southern District of New York (SDNY) Imposes Second Highest Penalty Under Foreign Corrupt Practices Act Katten
May
5
2013
 Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities Katten
May
31
2013
 Commodity Futures Trading Commission (CFTC) Issues Final Trade Execution Rules Katten
Jul
27
2018
 ESMA Updates UCITS and AIFMD Q&As [Again] Katten
Aug
17
2018
 SEC Issues Smaller Reporting Company Compliance Guide Katten
Aug
24
2018
 SEC Amends Disclosure Obligations in Municipal Securities Market Katten
Sep
21
2018
 CBOE Proposes Rule Change Relating to Qualification Examinations Katten
Oct
1
2018
 Bridging the Week by Gary DeWaal: September 24 - 28 and October 1, 2018 (Manipulation; Insider Trading; What Is a Commodity?; Bitcoin; Cyber Intrusion) Katten
Aug
11
2013
 European Securities and Markets Authority (ESMA) Publishes Updated Q&A Katten
Jan
13
2019
 NFA Amends Interpretive Notice Regarding ISSPs Katten
Sep
13
2013
 Sixth Circuit Affirms Dismissal of Shareholder Class Action Due to Plaintiff’s Failure to Plead Recklessness Katten
Feb
1
2019
 ESMA Updates Q&As Relating to the Benchmarks Regulation Katten
Oct
4
2013
 Financial Industry Regulatory Authority (FINRA) Proposes Rule to Require Alternative Trading Systems to Report Volume Information and Use Unique Market Participant Identifiers Katten
Mar
8
2019
 Council of EU Invites COREPER To Approve Final Compromise Text of EMIR Refit Regulation Katten
Oct
11
2013
 New York Stock Exchange Proposes New Rules to Harmonize Quantitative Continued Listing Standards and Modify Reverse Merger Listing Requirements Katten
Oct
19
2013
 SEC Scores in Accounting Fraud Suit Against BankAtlantic Corp. and Former CEO Katten
Mar
29
2019
 FCA and PRA Publish Updates to the Temporary Permissions Regime Katten
Apr
5
2019
 SEC Releases Framework for “Investment Contract” Analysis of Digital Assets Katten
Apr
12
2019
 FINRA Announces Updates of the Interpretations of Financial and Operational Rules Katten
Dec
6
2013
 Gruss v. Zwirn: Southern District of New York (SDNY) Strikes a Blow Against Selective Waiver Katten
Dec
15
2013
 Five Agencies Issue Final Volcker Implementation Rules; Small Banks Win Exemptions Katten
Jun
21
2019
 SEC Requests Public Comment on Improving Private Security Offering Exemptions Katten
Feb
1
2014
 Second Circuit Upholds Insider Trading Claim for Unregistered Securities Katten
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