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
9
2013
 Delaware Legislature Adopts Amendments to Delaware General Corporation Law Katten
Aug
17
2013
 SEC Order Temporarily Exempting Certain Broker Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13H-1 Katten
Aug
25
2023
 SEC Adopts Controversial and Sweeping Changes to Private Fund Rules; Requires Documentation of Annual Compliance Reviews Katten
Feb
8
2019
 SEC Issues C&DI on Disclosure of Self-Identified Director Diversity Characteristics Katten
Feb
25
2019
 Bridging the Week by Gary DeWaal: February 19 – 22 and February 25, 2019 (Spoofer New Trial?; Utility Token?; Capital Rules To Discourage Clearing?) Katten
Mar
18
2019
 Bridging the Week by Gary DeWaal: March 11 – 15 and March 18, 2019 (Positioning for New Position Limits Proposal; Custody and Cryptoassets; Supervision for Swap Dealers) VIDEO Katten
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
Mar
11
2024
 The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A Security 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
Jun
13
2014
 Investment Adviser Accused of $8.8 Million Fraud by Securities and Exchange Commission (SEC) Katten
Feb
10
2020
 Bridging the Week by Gary DeWaal: February 3 to 7, and February 10, 2020 (Potential Crypto Certainty; Market Disruption; ADRs; Block Trades) Katten
Jun
21
2014
 Securities and Exchange Commission (SEC) Releases Guidance on Affiliated Transactions of Series Investment Companies Katten
Jun
27
2014
 Supreme Court Decides Halliburton Co. v. Erica P. John Fund, Inc. Katten
Jul
12
2014
 New York Jury Acquits Former Hedge Fund Manager of Insider Trading Conspiracy Katten
Jul
15
2014
 SEC Focuses on Burgeoning Liquid Alternative Funds Market Katten
Apr
16
2020
 Physically Settled Power Hedges Under the ISDA North American Power Annex Katten
Sep
14
2014
 AIFMD: Additional Alternative Investment Fund (AIF) Data Request by FCA Katten
Sep
21
2014
 Financial Industry Regulatory Authority (FINRA) Revises Proposal to Adopt Consolidated FINRA Rule 2231 Katten
Oct
3
2014
 European Securities and Markets Authority (ESMA) Consults on Draft Guidelines Clarifying the Definition of “Derivatives” Under Markets in Financial Instruments Directive (MiFID) Katten
Oct
10
2014
 SEC Issues Risk Alert and FAQs on Customer Sales of Unregistered Securities Katten
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