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
Jun
12
2017
 Bridging the Week: June 5-9, June 12, 2017 (SEC Disgorgement Actions Are Not Forever; Keep Suspicions in SARs; Audit Trail Requirements) [VIDEO] Katten
Nov
22
2012
 House Financial Services Committee Releases Staff Report on MF Global Katten
Dec
1
2012
 CFTC Issues Required Clearing Determination for Certain Credit Default and Interest Rate Swaps Katten
Dec
14
2012
 European Securities and Markets Authority (ESMA) Issues Guidelines on Repo Arrangements for UCITS Funds Katten
Jan
5
2018
 FINRA Proposes To Extend the Expiration Date of FINRA Rule 0180 Katten
Dec
31
2012
 National Futures Association "NFA" Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies Katten
Jan
11
2013
 Council of Institutional Investors "CII" Submits Rule 10b5-1 Rulemaking Petition to the SEC Katten
Feb
23
2018
 Supreme Court Limits Scope of Dodd-Frank Whistleblower Protections Katten
Mar
1
2013
 Recent Securities and Exchange Commission (SEC) Speeches Focus on Investor Protection and Disclosure Katten
Apr
13
2018
 FINRA Proposed a Rule Change With Respect to the Establishment of a Second Trade Reporting Facility Katten
Mar
25
2013
 CFTC Grants Relief from Required Clearing for Partial Novation and Partial Termination of Swaps Katten
Mar
31
2013
 NASDAQ Files to Change Order Processing Algorithm, Permit Registration of Market Makers and Amend Order Types on PSX Katten
Apr
27
2013
 National Futures Association (NFA) Amends Commodity Pool Operators and Commodity Trading Advisors (CTA) Quarterly Reporting Requirements Katten
Jul
20
2018
 SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems Katten
Jun
1
2013
 European Securities and Markets Authority (ESMA) Approves Co-Operation Agreements With 34 non-European Economic Area (EEA) Jurisdictions Katten
Jun
8
2013
 SEC Approves Financial Industry Regulatory Authority (FINRA) Rule Change That Requires Reporting Over-The-Counter Equity Transactions Within 10 Seconds Katten
Sep
24
2018
 SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models Katten
Jul
15
2013
 SEC Announces Three New Anti-Fraud Enforcement Initiatives Katten
Oct
5
2018
 ESMA Updates Its Opinion on Ancillary Activity Calculations Katten
Aug
6
2013
 Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations Katten
Dec
16
2018
 NFA Proposes Amendments Incorporating Swaps into Compliance Rules and Interpretive Notices; NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems Katten
Aug
31
2013
 SEC Accuses Investment Adviser of Misrepresenting Its Algorithmic Trading Capacity Katten
Sep
14
2013
 Former Head of Investor Relations Penalized by SEC for Selectively Disclosing Material Nonpublic Information, While Self-Disclosing Company Escapes Charges Katten
Sep
7
2023
 FINRA Settles First Significant CAT Reporting Enforcement Action Katten
Mar
11
2019
 Bridging the Week by Gary DeWaal: March 4 – 8 and March 11, 2019 (Bribing Is Wrong; Smarter Swaps APs Are Better; Commercially Reasonable Prices for EFRPs Are Best) Katten
Oct
14
2013
 Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer Katten
Mar
31
2019
 FINRA Proposes Data Service for Corporate Bond New Issues Katten
Apr
26
2019
 CFTC Approves Final Rule Providing Exception to Annual Privacy Notice Requirements Katten
Nov
25
2013
 Futures Industry Releases Insurance Study Katten
Dec
6
2013
 NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence Katten
Jan
3
2014
 Agencies Appear to Signal Retreat on Collateralized Debt Obligations (CDOs) backed by Trust Preferred Securities (TruPS) Issue Katten
Oct
24
2023
 SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law Katten
Feb
2
2014
 Federal Trade Commission (FTC) Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications Katten
Aug
5
2019
 Bridging the Week by Gary DeWaal: July 29 – August 2, and August 5, 2019 (Parallel Spoofing Charges; UK Regulator’s Digital Asset Perimeter) Katten
Feb
24
2014
 Securities and Exchange Commission (SEC) to Examine Never-Before Examined Registered Investment Advisers Katten
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