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
Feb
5
2016
 SEC Approves FINRA’s Funding Portal Rules Katten
Feb
22
2016
 Bridging the Week: February 15 – 19 and 22, 2016 (Culture; False Documents; Home Court Advantage; Trade Options; Automated Trading Systems) Katten
Feb
27
2016
 Federal Banking Agencies Release Economic Scenarios for 2016 Stress Testing Katten
Apr
6
2022
 SEC Deals New Proposal to Expand Reach of Dealer Registration Requirements Katten
Apr
8
2016
 SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items Katten
Apr
29
2016
 SEC Seeks Public Comment on Consolidated Audit Trail Proposal Katten
May
13
2016
 SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants Katten
Jul
15
2016
 SEC Increases Dollar Amount of the Net Worth Threshold Test for “Qualified Clients” in Rule 205-3 Under the Investment Advisers Act of 1940 Katten
Oct
7
2016
 SEC Staff Issues Three No-Action Letters Regarding Proxy Access Proposals Katten
Oct
15
2016
 ESMA Advice to ECON on the Application of the AIFMD Passport to Non-EU AIFMs and AIFs Katten
Mar
6
2017
 Bridging the Week: EFRPs; Sanctions; Regulator Hide and Seek; Red Flags Missed Again February 27 to March 3 and March 6, 2017 Katten
Mar
10
2017
 SEC Issues Inline XBRL Proposed Rule and Publishes International Financial Reporting Standards (IFRS) Taxonomy Katten
Apr
10
2017
 ESMA Updates MiFID II Q&As on Market Structures, Commodity Derivatives and Transparency Katten
Jun
16
2017
 SEC Updates to Form ADV FAQs Katten
Jul
14
2017
 ESMA Invites European Commission To Strengthen EU Third-country Equivalence Regime For Key Market Players In Light of Brexit Katten
Aug
3
2017
 SEC Warns That Digital Tokens May Be Securities Katten
Sep
1
2017
 SEC and Staff Issue Interpretative Guidance on Revenue Recognition Katten
Oct
13
2017
 ESMA Updates UCITS and AIFMD Q&As Katten
Nov
18
2012
 Court Rules That Plaintiffs Failed to Establish "Scheme Liability" in Securities Case Katten
Dec
4
2012
 SEC Whistleblower Report Highlights New Program's Activity and Success Katten
Dec
10
2012
 Former Hedge Fund Founder Ordered to Pay $5 Million for Securities Law Violations Katten
Dec
27
2012
 Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs Katten
Feb
5
2018
 Bridging the Week by Gary DeWaal: January 29 to February 2, and February 5, 2018 (Spoofing; FCMs; Software Development; ICOs; Block Trades) [VIDEO] Katten
Jan
27
2013
 National Futures Association "NFA" Issues Notice Regarding CTA Reporting Requirements Katten
Feb
5
2013
 National Futures Association (NFA) to Require Commodity Pool Operators (CPOs) to Identify Registered Investment Companies Katten
Feb
11
2013
 trueEX Requests that Commodity Futures Trading Commission (CFTC) Amend Order of Designation as a Contract Market Katten
Feb
18
2013
 Commodity Futures Trading Commission (CFTC) Permits Cantor Clearinghouse to Clear Certain Foreign Exchange Options Katten
Feb
26
2013
 Southern District of New York (SDNY) Favors the Securities & Exchange Commission (SEC) in Foreign Corrupt Practices Act Action Involving Novel Issues of Statutory Interpretation Katten
May
19
2023
 SEC No-Action Letters on Proxy Materials and Other Developments Reinforce Commission-Wide Commitment to ESG Katten
Apr
20
2018
 SEC Proposes Best Interest Standard for Broker-Dealers Katten
Mar
24
2013
 UK Financial Services Authority (FSA) Publishes Second EU Alternative Investment Fund Managers Directive (AIFMD) Consultation Paper Katten
Jun
15
2023
 Texas (Business) Courts to Open for Business: Law Creating Specialized Business Courts in Texas Becomes Official Katten
Mar
30
2013
 London Interbank Offered Rate (LIBOR) Discontinuation Guidance from International Swaps and Derivatives Association, Inc. (ISDA) Katten
Apr
6
2013
 SEC Extends Compliance Date for Certain Large Trader Requirements Katten
Apr
23
2013
 More Securities Fraud Cases Now Involve Foreign Regulators Katten
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