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
May
2
2016
 Bridging the Week: Report Cards; EFRPs; Market Disruption; HFT; Algorithmic Trading; Cybersecurity [VIDEO] Katten
Jun
4
2016
 ESMA Publishes Q&A on the Implementation of MAR Katten
Jun
10
2016
 SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information Katten
Jun
24
2016
 SEC Proposes Rules Updating Mining Registrant Disclosure Requirements Katten
Jul
11
2016
 Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 Katten
Sep
9
2016
 FINRA Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities Katten
Sep
30
2016
 SEC Proposes Amendment to Expedite Settling Securities Transactions Katten
Jan
9
2017
 Bridging the Weeks: Dec 19 - Jan 6, and Jan 9, 2017 (Jon Corzine; Infiltrating E-Mails; ATS Gone Bad; Whistleblower Infractions) Katten
Mar
13
2017
 ESMA Issues Opinion on UCITS Share Classes Katten
May
8
2017
 Bridging the Week: May 1 to 5 and May 8, 2017 (Views on Reg AT; CCO Obligations and Annual Reports; Jay Clayton; KISS and Tell) Katten
Jun
5
2017
 Bridging the Week: May 22 to June 2 and June 5, 2017 (Spoofing Again; Principles-Based Rules Rule; Insider Trading; Source Code Theft; Whistle-Blowing While You Work) Katten
Aug
18
2017
 ESMA Updates MiFID II and MiFIR Transaction Reporting Guidelines Katten
Oct
28
2017
 SEC Approves PCAOB Rule to Require Enhanced Audit Reports Katten
Nov
13
2012
 A New Wave of Say-on-Pay and Executive Compensation Proxy Litigation Katten
Nov
18
2017
 ESMA Highlights ICO Risks Katten
Dec
8
2017
 ESMA Publishes Transitional Transparency Calculations for Equity and Bond Instruments Katten
Feb
15
2023
 Record Penalty for Alleged Regulation FD Violations and Best Practices Going Forward Katten
Dec
25
2012
 SEC Issues Exemptive Order in Connection with Portfolio Margining of Cleared Swaps and Security-Based Swaps Katten
Dec
30
2012
 Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities Katten
Jan
11
2013
 Institutional Shareholder Services "ISS" Publishes Updated FAQs for its Proxy Voting Policies Katten
Jan
20
2013
 FINRA Issues Annual Regulatory and Examination Priorities Letter for 2013 Katten
Feb
2
2013
 SEC Extends Expiration Date for Interim Final Rules Providing Exemptions for Security-Based Swaps Katten
Feb
20
2018
 Between Bridges – February 19, 2018: CFTC Says Futures Brokerage Firm’s Failure to Supervise Led to Unauthorized Cyber Attack; Trader Criminally Charged for Allegedly Misappropriating Employer’s Cryptocurrencies Katten
Mar
19
2018
 Bridging the Week: March 12 to 16 and 19, 2018 (Swaps De Minimis Level; SLR; SEFs; Insider Trading; ICOs) [VIDEO] Katten
Mar
10
2013
 Delaware Chancery Court Addresses Records Inspection Requests Standards Katten
Apr
13
2018
 SEC Confirms Record Retention Requirements With Third-Party Recordkeeping Services Katten
Mar
25
2013
 Banking Agencies Issue Guidance on Leveraged Lending Katten
Mar
31
2013
 New York District Court Bars Discovery of SEC's Requests for Extension Under Dodd-Frank Katten
Apr
7
2013
 Securities and Exchange Commission (SEC) Advisory Committee on Small and Emerging Companies Makes Recommendations Katten
Jul
28
2018
 FINRA Updates: Board of Governors Approve Rules & Simplified Arbitration Katten
Aug
20
2018
 Bridging the Week by Gary DeWaal: August 13 to 17 and August 20, 2018 (ICO Halted; Misappropriation of Client Funds Not Halted; Rogue Trading) Katten
Jun
16
2013
 Securities Class Representative Cannot Object to Bankruptcy Release on Behalf of Class Katten
Aug
25
2018
 SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements Katten
Jun
30
2013
 District Court Dismisses Class Action Suit Under Federal Tort Claims Act (FTCA) Against Securities Exchange Commission (SEC) Katten
Sep
24
2018
 Bridging the Week by Gary DeWaal: September 17 - 21 and September 24, 2018 (Spoofing; Cryptocurrency Trading Platforms; Post-Trade Allocations) Katten
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins