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
17
2017
 SEC Enforcement Division Issues Report on Priorities and Fiscal Year 2017 Results Katten
Nov
21
2012
 SEC Rejects Motion to Stay Resource Extraction Disclosure Rules Katten
Dec
13
2012
 Joint Press Statement Regarding OTC Derivatives Market Katten
Jan
9
2013
 District of Colorado Dismisses, in Part, Securities Fraud Claims in Ponzi Scheme Suit Katten
Jan
20
2013
 CFTC Issues Exemptive Order to ICE Clear Credit Permitting Commingling and Portfolio Margining of Cleared Credit Default Swaps and Security-Based Swaps Katten
Feb
2
2013
 National Futures Association "NFA" Sets Implementation Deadline for Phase 1 of Customer Segregated Funds Reporting Katten
Feb
13
2018
 SEC Approves NYSE Rule to Facilitate Listing Without an IPO Katten
Feb
21
2023
 SEC Announces Inspection Priorities for 2023 Katten
Mar
31
2013
 SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers Katten
Apr
6
2013
 Commodity Futures Trading Commission (CFTC) Issues Rule Regarding Persons Associated with Multiple Swap Dealers or Major Swap Participants Katten
May
25
2018
 FINRA Proposed Rule Changes & Notice of Disclosure Review Enhancements Katten
May
18
2013
 SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Katten
May
31
2013
 Sixth Circuit Lowers Bar for Securities Claims and Creates Circuit Split Katten
Jul
27
2018
 European Supervisory Authorities Release Guidance on PRIIPS KID Katten
Jun
16
2013
 Commodity Futures Trading Commission (CFTC) Expands List of Acceptable Legal Entity Identifiers Katten
Aug
24
2018
 SEC Disapproves Bitcoin Exchange-Traded Products Katten
May
19
2023
 SEC No-Action Letters on Proxy Materials and Other Developments Reinforce Commission-Wide Commitment to ESG Katten
Sep
21
2018
 SEC Commissioner Jackson Gives Speech Regarding the State of America’s Stock Exchanges Katten
Jul
15
2013
 Commodity Futures Trading Commission (CFTC) Grants No Action Relief to EU Swap Dealers from Swap Documentation Rules Katten
Jun
15
2023
 Texas (Business) Courts to Open for Business: Law Creating Specialized Business Courts in Texas Becomes Official Katten
Aug
12
2013
 Commodity Futures Trading Commission’s (CFTC) Releases Rule Enforcement Review of the Chicago Mercantile Exchange and Chicago Board of Trade Katten
Jan
14
2019
 Commentaries Bridging the Week by Gary DeWaal: January 7 – 11 and January 14, 2019 (Freedom of Speech; Cryptoasset Regulation Gaps; Cybersecurity) Katten
Jul
17
2023
 Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy Katten
Sep
20
2013
 Securities and Exchange Commission (SEC) Proposes Rule Regarding Disclosure of CEO-to-Worker Pay Ratio Katten
Feb
1
2019
 Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210 Katten
Oct
12
2013
 Government Publishes Study of Systemic Risks in Asset Management Katten
Mar
22
2019
 FINRA Reminds Firms of Obligations Under Rule 15c2-11(a)(4) Katten
Apr
7
2019
 FCA and SEC Sign Updated Memoranda of Understanding Katten
Aug
17
2023
 Federal Reserve Warns Against Potential Risks Posed by Quantum Computers and AI Katten
Apr
25
2019
 Not So Secure: OCIE Identifies Regulation S-P Compliance Issues Katten
Nov
23
2013
 Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations Katten
Jan
26
2014
 Commodity Futures Trading Commission (CFTC) Interdivisional Working Group to Review Swap Reporting Katten
Feb
8
2014
 Securities and Exchange Commission (SEC) Issues No-action Relief Regarding Registration of Mergers and Acquisitions (M&A) Brokers Katten
Oct
25
2019
 CFTC, Among Other US Financial Regulatory Agencies, Joins the Global Financial Innovation Network Katten
Apr
12
2014
 Banking Agencies Adopt Enhanced Supplementary Leverage Ratio Final Rule Katten
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