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
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
Oct
15
2018
 Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets) Katten
Sep
6
2023
 FINRA Gains Greater Jurisdiction and Members: Amendments to SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers to Join FINRA Katten
Aug
30
2013
 SEC Requires Admission of Wrongdoing as Part of Settlement Katten
Sep
13
2013
 Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives Katten
Feb
4
2019
 Bridging the Week by Gary DeWaal: January 28 – February 1 and February 4, 2019 (Spoofing; SEF Trading; Security Tokens; Bitcoin Sales) [VIDEO] Katten
Sep
27
2013
 Securities and Exchange Commission (SEC) Adopts Municipal Advisor Registration Requirements Katten
Oct
5
2013
 SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel Katten
Mar
4
2019
 Bridging the Week by Gary DeWaal: February 25 – March 1 and March 4, 2019 (Appeal Not Appealing; Purported Fraudster Indicted for Fraud) Katten
Oct
13
2013
 SEC Launches Public Website for Analyzing Exchange Data Katten
Nov
23
2013
 Federal Judge Reaffirms Decision to Narrow SEC’s Adviser Act Claims Against Hedge Fund Katten
Dec
6
2013
 SEC Division of Corporation Finance Issues 14 New Compliance and Disclosure Interpretations (C&DIs) Relating to “Bad Actor” Rules Katten
Jul
29
2019
 Bridging the Week by Gary DeWaal: July 22 – 26, and July 29, 2019 (Or ≠ And; Actual Delivery = Real Delivery; Gaming Tokens ≠ Securities; Ain’t Broke = Working) Katten
Feb
9
2014
 Securities and Exchange Commission (SEC) Issues Risk Alert on Investment Advisers’ Due Diligence Processes for Selecting Alternative Investments Katten
Feb
21
2014
 Securities and Exchange Commission (SEC) Approves Changes to Financial Industry Regulatory Authority (FINRA) BrokerCheck Disclosure Rule 8312 Katten
Aug
23
2019
 SEC Division of Corporation Finance Issues C&DIs Regarding Inline XBRL Katten
Jan
23
2024
 SEC Regulatory Update: Fall 2023 Rulemaking Agenda Published Katten
Mar
14
2014
 NASDAQ Launches Marketplace for Private Companies Katten
Feb
23
2024
 SEC Significantly Broadens "Dealer" Definition Katten
Nov
8
2019
 SEC Proposes Amendments Relating to Proxy Voting Advice Katten
Apr
20
2014
 Securities and Exchange Commission (SEC) Alleges Insider Trading by Two Friends in Advance of the Acquisition of The Shaw Group Inc. Katten
Dec
20
2019
 SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” Katten
May
16
2014
 Delaware Supreme Court Upholds Fee-Shifting Bylaw Katten
Jan
10
2020
 SEC Proposes Changes to Market Data Plans Katten
Jan
17
2020
 SEC Issues Guidance on Confidential Treatment Applications and Intellectual Property and Technology Risks Katten
May
25
2014
 Joint Auditing Commission(JAC) Issues Guidance on Margin Funds Katten
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