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
Aug
22
2014
 Parkcentral v. Porsche: Second Circuit Opens the Doors of Morrison, and Declines to Apply Section 10(b) to Domestic Securities-Based Swap Transactions Katten
Sep
5
2014
 SEC Adopts Regulation AB II: Disclosure and Reporting Requirements for Asset-backed Securities Katten
Sep
26
2014
 SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme Katten
Oct
4
2014
 Institutional Shareholder Services (ISS) Publishes Results of Annual Global Voting Policy Survey Katten
May
15
2020
 FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules Katten
Oct
28
2014
 Better Culture; Accountants; London Whale; Asset-Backed Securities; Collusive Activity; Cybersecurity - Bridging the Week: October 20-27, 2014 [VIDEO] Katten
Nov
2
2014
 European Commission Adopts First Equivalence Decisions for Non-EU Central Counterparties (CCPs) Katten
Jun
5
2020
 ESMA Updates Transparency Opinions, MiFID II Q&As & Clearing Services Commercial Terms Katten
Jun
19
2020
 SEC, NYSE Updates: Reg BI and Form CRS; Partial Floor Re-Opening Katten
Nov
21
2014
 Investor Claims NetTALK Executives Took Control of Board Katten
Dec
5
2014
 Expedited Proceedings Denied iin Delaware Where Harm Is Only Speculative Katten
Dec
15
2014
 Insider Trading, Sentinel, Punitive Capital Hit Stay, Investment Funds Portfolio Composition Risk, Auditor Independence (or Not): Bridging the Week: December 8 to 12 and 15, 2014 Katten
Dec
19
2014
 CFTC Extends Relief to Four Foreign Clearing Organizations Katten
Feb
16
2015
 OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks Katten
Mar
22
2015
 CFE Amends Rules on ECRPs and Block Trades Katten
Dec
5
2020
 Division of Corporation Finance Issues Disclosure Consideration for China-Based Issuers Katten
Apr
17
2015
 Proposed Amendments to DGCL (Delaware General Corporation Law), Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions Katten
Dec
11
2020
 CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals Katten
May
8
2015
 ESMA Releases Final Guidance on the Definition of Physically Settled Commodity Derivatives Under MiFID I Katten
Jun
5
2015
 States Challenge Blue Sky Preemption Under Regulation A+ Katten
Jun
19
2015
 California Brokers Plead Guilty to Insider Trading of Ardea Biosciences, Inc. Stock Katten
Mar
22
2021
 The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest Katten
Jul
12
2015
 CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions Katten
Jul
20
2015
 Disruptive Trading Redux; Penalties; Treasury Flash Crash; CCOs - Bridging the Week: July 13-17 and 20, 2015 [VIDEO] Katten
Jul
24
2015
 CFTC Staff Exempts Certain CTAs From Filing Form CTA-PR Katten
Aug
31
2015
 FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers Katten
Sep
25
2015
 SEC Advisory Committee on Small and Emerging Companies Makes Recommendations Katten
Oct
9
2015
 SEC Approves FINRA Equity and Debt Research Rules Katten
Oct
19
2015
 Bridging the Week: October 12 to 16 and 19, 2015 (Pre-Arranged Trades, Wash Sales, Spoofing, CCO Liability, Non-Disclosure, IBs) Katten
Nov
20
2015
 SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference Katten
Nov
30
2015
 Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] Katten
Dec
7
2021
 Key Takeaways: CFTC's FY 2021 Swap Dealers Enforcement Actions Katten
Dec
11
2015
 FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck Katten
Jan
19
2016
 Bridging the Week: January 11 – 15 and 19, 2016 (Part 30; Short Sales; Attempted Manipulation; Another Exam; More Capital, Billions) Katten
Jan
22
2016
 FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions Katten
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