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
12
2019
 FINRA Proposes Rule Extending the Market-Wide Circuit Breakers in NMS Stocks Pilot Program Katten
Nov
15
2013
 Second Circuit Says Injured Investors Lack Standing to Challenge Release of Fair Funds to US Treasury Katten
Nov
22
2013
 SEC Chair Mary Jo White Outlines Potential Changes to “Accredited Investor” Definition Katten
May
3
2019
 CFTC Proposes Amendments to DCO Regulations Katten
May
13
2019
 Bridging the Week by Gary DeWaal: May 6 – 10 and May 13, 2019 (So Many Guidances by CFTC Enforcement, FinCEN and FINRA, So Little Time; The SEC and Jackson Pollock) Katten
Dec
22
2013
 SEC Announces Enforcement Results for 2013 Katten
Jan
10
2014
 National Futures Association (NFA) Implements Additional Reporting Requirements for Certain FCMs (Futures Commission Merchants) Katten
Jan
19
2014
 Commodity Futures Trading Commission (CFTC) Issues No-Action Relief to Futures Commission Merchants (FCM) Relating to Enhanced Customer Protection Rules Katten
Jan
31
2014
 SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule” Katten
Aug
12
2019
 Bridging the Week by Gary DeWaal: August 5 - 9, and August 12, 2019 (Securities or Not; Swap Dealer Misleading Information; Market Abuse) Katten
Feb
17
2014
 National Futures Association (NFA) Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101 and Compliance Rule 2-36(d) Katten
Sep
20
2019
 CFTC Market Risk Advisory Committee Approves Plain English IBOR Risk Disclosures Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Issues New FAQs on Conflict Minerals Katten
Apr
18
2014
 US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule Katten
May
10
2014
 SEC Charges Five Co-Conspirators in Reverse Merger Scheme Katten
Feb
15
2024
 SEC Broadens 'Dealer' Definition Katten
May
23
2014
 Securities and Exchange Commission (SEC) Brings Lawsuit Against Unregistered Broker Dealer Katten
Jun
9
2014
 Commodity Futures Trading Commission (CFTC) Extends No-Action Relief for Certain Transaction-Level Requirements for Non-US Swap Dealers Katten
Apr
11
2013
 Closely Held Corporations and Stock Sales Raymond Law Group LLC
Mar
26
2015
 SEC's New Regulation A+ and the States' M Word (Merit Review) Lewis Roca Rothgerber LLP
Mar
6
2013
 Raising Capital - What You Don’t Know Could Hurt You Lewis Roca Rothgerber LLP
Mar
19
2015
 Crowdfunding? Really? Crowdfunding Rule under the JOBS Act Lewis Roca Rothgerber LLP
Jul
29
2014
 The “Accredited Investor” Question Re: Securities Regulation Lewis Roca Rothgerber LLP
Dec
1
2020
 SEC Modernizes Public Company MD&A and Other Financial Disclosure Requirements Godfrey & Kahn S.C.
Jul
16
2013
 SEC Settles Enforcement Action with Morgan Keegan Directors Regarding Fair Valuation Godfrey & Kahn S.C.
May
1
2014
 SEC (Securities and Exchange Commission) Focuses on Alternative Funds Godfrey & Kahn S.C.
Jul
16
2013
 Securities and Exchange Commission (SEC) Releases Money Market Fund Reform Proposals Godfrey & Kahn S.C.
May
1
2014
 SEC (Securities and Exchange Commission) Guidance on the Testimonial Rule and Social Media Godfrey & Kahn S.C.
May
28
2020
 SEC Updates Disclosure Rules for Business Acquisitions and Dispositions Godfrey & Kahn S.C.
Oct
27
2015
 Investment Management Legal and Regulatory Update - October 2015 Godfrey & Kahn S.C.
Apr
15
2013
 SEC Staff Meets with IRS to Discuss Tax Implications of a Floating Net Asset Value (NAV) Godfrey & Kahn S.C.
Nov
16
2020
 SEC Proposes to Modernize Fund Shareholder Reports and Disclosures Godfrey & Kahn S.C.
Jul
16
2013
 SEC Issues Guidance Regarding Compliance with Exemptive Orders Godfrey & Kahn S.C.
Feb
13
2014
 Securities and Exchange Commission (SEC) Staff Issues Guidance on Exemption for Advisers to Venture Capital Funds Godfrey & Kahn S.C.
Apr
13
2013
 Supreme Court Rules That SEC Can't Extend Fraud Deadline Godfrey & Kahn S.C.
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