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
Nov
2
2015
 Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) Katten
Nov
7
2015
 SEC Adopts Final Crowdfunding Rules, Completing JOBS Act Rulemaking Katten
Jan
5
2016
 Bridging the Week: December 21 – 31, 2015, and January 4, 2016 (MF Global; Blue Sheets; New Product Blues; Tag 50s; The Big Short) Katten
Jan
28
2016
 SEC Proposed Rule 18f-4 Would Severely Restrict Use of Derivatives by Investment Companies Katten
Mar
4
2016
 SEC Chair Addresses Advisory Committee on Small and Emerging Companies Katten
Mar
24
2022
 What to Worry About With the SEC's Move to Regulate Private Funds Katten
Apr
9
2016
 ESMA Declines to Exclude Exchange-Traded Derivatives From MiFIR Open Access Requirements Katten
Apr
8
2022
 Katten Financial Markets and Funds Quick Take: April 2022 Katten
May
23
2016
 Bridging the Week: May 16 - 20 and May 23, 2016 (AML; Compliance Officers; Whistleblowers; Golfer) Katten
May
27
2016
 SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative Katten
Jun
2
2016
 SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration Katten
Jul
15
2016
 SEC Proposes Amendments To Update and Simplify Disclosure Requirements Katten
Jul
22
2016
 SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look Katten
Jul
29
2016
 Proposed FINRA Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility Katten
Oct
7
2016
 SEC Staff No Longer Requires “Tandy” Representations in Filing Reviews Katten
Oct
31
2016
 Bridging the Week: October 24 to 28 and October 31, 2016 (Tipper and Tippees; Block Pre-Hedging; Regulation AT Amendments; FINRA, SEC Sweep) Katten
Mar
10
2017
 SEC Proposes Amendments to Rule 15c2-12 Katten
Apr
11
2017
 SEC Issues Update for Advisers Relying on Unibanco No-Action Letters Katten
Jun
14
2022
 Katten Financial Markets and Funds Quick Take: June 2022 Katten
Jul
19
2022
 Financial Markets and Funds Quick Take | Issue 4 Katten
Jul
17
2017
 ESMA Updates AIFMD and UCITS Q&As Katten
Jul
28
2017
 SEC Cautions Securities Laws May Apply to Interests in Virtual Organizations Katten
Aug
25
2017
 SEC Expands Nonpublic Review of Draft Registration Statements: August 25, 2017 Katten
Oct
4
2017
 Bridging the Week: September 25 to 29 and October 2, 2017 (Failure to Supervise Redux; Where Are the Digital Coins?; CFTC’s New Enforcement Math) Katten
Dec
5
2012
 Second Circuit Denies Investor's Second Appeal for New Trial Katten
Dec
11
2012
 SEC Accountants Speak at AICPA Conference Katten
Dec
22
2012
 CFTC Approves Final Rule Requiring Recording of Oral Communications Katten
Dec
13
2022
 New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules Katten
Jan
19
2013
 SEC Approves NYSE and NASDAQ New Compensation Committee and Adviser Listing Standards Katten
Jan
28
2013
 Commodity Futures Trading Commission "CFTC" Amends Order of Registration and Approves Rulebook for LCH.Clearnet LLC Katten
Feb
26
2013
 Head of Securities and Exchange Commission (SEC) Investment Management Division Announces Top Regulatory Priorities Katten
Mar
22
2018
 Blockchain Technology May Enable Tracing in Securities Act Litigation Katten
Mar
24
2013
 Federal Court Rejects "Core Operations" Theory of Scienter in Battery Manufacturer Fraud Case Katten
Apr
6
2013
 Federal Court Dismisses Securities Class Action Alleging Misrepresentations About "Cannibalization" Katten
Apr
15
2013
 Chicago Mercantile Exchange (CME) Block Trade Advisories Clarify Nonpublic Information Restrictions Katten
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