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
Apr
26
2015
 Judge Declines to Dismiss Spoofing Charges Against High Frequency Trader Katten
Jan
28
2021
 New York Adopts New Registration and Examination Requirements for Certain Investment Adviser Related Personnel and Solicitors Katten
May
25
2015
 CFTC Proposes to Exempt Certain Southwest Power Pool Transactions Katten
Mar
5
2021
 SEC Announces New Climate and ESG Task Force Katten
Jun
29
2015
 Bridging the Week: June 22 to 26 and 29, 2015 (Clawbacks, Third-Party Payments, Block Trades, Trade Allocations, Governance; Reg SCI) Katten
Jul
17
2015
 FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules Katten
Jul
31
2015
 AIFMD Marketing Passport: ESMA Provides European Commission With Advice on Its Possible Extension to Non-EU Jurisdictions Katten
Aug
30
2015
 Bridging the Week: August 17 - 21 and 24, 2015 - Block Trades, Front Running, Failure to Supervise, Conflicted Audit, Exempt Clearinghouse Katten
Jul
22
2021
 ESG Remains a Priority: SEC Asset Management Advisory Committee Adopts ESG Disclosure Recommendations Katten
Sep
4
2015
 European Securities and Markets Authority (ESMA) Consults on Remaining MiFID II Draft ITS Katten
Sep
19
2015
 ESMA Raises Market Risk Indicator for European Securities to Highest Level Katten
Sep
24
2015
 SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor Alert on Data Theft Katten
Nov
7
2015
 DERA Publishes Study of Unregistered Offering Katten
Nov
20
2015
 ESMA Issues Public Statement on Collateralization of Bank Guarantees for Energy Derivatives Katten
Jan
9
2016
 PCAOB Adopts New Rules Requiring Disclosure of Participants in Audit Katten
Jan
29
2016
 Crowdfunding Portals Can Now Register with the SEC Katten
Feb
9
2016
 Bridging the Week: February 1 – 5 and 8, 2016 (Dark Pools; Manipulation; Position Limits; Wash Trades; Purposeful Regulation) Katten
Feb
29
2016
 Bridging the Week: February 22–26 and 29, 2016 (Position Limits; Short Sales; Canadian Derivatives; Form PR) Katten
Mar
4
2016
 Enhanced Price Disclosures for Certain Retail Customers Approved by FINRA Katten
Apr
10
2016
 ESMA Publishes Final UCITS V Remuneration Guidelines Katten
Apr
22
2016
 CFTC Enters Into Information Sharing MOU With Three Additional Canadian Provinces Katten
Apr
30
2016
 European Commission Publishes First Capital Markets Union Status Report Katten
May
7
2016
 European Securities and Markets Authority Publishes Opinions on Amendments to Markets in Financial Instruments Directive II Non-Equity Transparency and Position Limits RTS Katten
Jul
11
2016
 SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule Katten
Jul
15
2016
 SEC Division of Corporation Finance Issues New C&DIs on A/B Exchanges Katten
Nov
10
2016
 CFTC Approves Supplemental Proposal to Regulation AT Katten
Aug
18
2017
 SEC Staff Issues Information Update for Advisers Filing Certain Form ADV Amendments Katten
Aug
25
2017
 ESMA Publishes Final Report on Transfer of Data Between Trade Repositories Under EMIR Katten
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
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
16
2018
 SEC Proposes Transaction Fee Pilot Program Katten
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