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
25
2014
 Financial Industry Regulatory Authority (FINRA) Proposes Rule Establishing Fee Schedule for Access to Alternative Trading System (ATS) Volume Data Katten
Nov
22
2019
 Glass Lewis Releases 2020 US Proxy Paper Guidelines Katten
May
2
2014
 Commodities Futures Trading Commission (CFTC) Provides Relief Regarding Package Transactions Katten
Jan
17
2020
 Amendments to FINRA New Issue Rules 5130 and 5131 Effective January 1, 2020 Katten
Mar
6
2020
 SEC Amends Disclosure Rules for Registered Debt Offerings Katten
Mar
27
2020
 ESMA Publishes Statement on MiFID II Telephone Conversation Requirements During the COVID-19 Pandemic Katten
Aug
8
2014
 SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley Katten
Aug
29
2014
 United Kingdom: A Reminder About Careful Drafting of Confidentiality Clauses for Shareholders Katten
Oct
3
2014
 Commodity Futures Trading Commission (CFTC) Extends Relief for Swap Execution Facilities (SEF)s and Designated Contract Markets (DCM)s from Straight-Through Processing Requirements for Package Transactions Katten
May
15
2020
 SEC Enforcement Actions Against Fund Advisers Continues Katten
Oct
20
2014
 Bridging the Week: October 13 to 17 and 20, 2014 (Marking the Close; CPO Delegation; Clearinghouse Recovery; To Tweet or Not to Tweet) Katten
Nov
2
2014
 Securities Class Action Dismissed Where Information Was Publicly Available - Reinschmidt v. Zillow, Inc. Katten
Nov
5
2014
 The Re-Proposed Margin Rules for Non-Cleared Swaps: Some Issues and Suggestions for End Users Katten
Nov
14
2014
 Recent Key Bitcoin and Virtual Currency Regulatory and Law Enforcement Developments Katten
Jul
17
2020
 CFTC Welcomes Standardized Approaches to Assessing Cybersecurity Preparedness Katten
Jul
29
2020
 Second Quarter Reporting — Recent SEC Guidance on COVID-19-Related Disclosure Katten
Dec
19
2014
 CME Issues Revisions to Wash Trade Advisory Notice Katten
Jan
23
2015
 SEC Comments on FINRA’s Proposed Rule Amendment to Increase Pricing Disclosure Katten
Sep
11
2020
 FINRA Files Proposed Rule Change to Delete the Order Audit Trail System (OATS) Rules Katten
Feb
16
2015
 Hat in Hand for Budget; OCR; Overcharges; Swaps Clearing and Execution - Bridging the Week: February 9 to 13 and 16, 2015 Katten
Feb
20
2015
 ESMA Publishes Additional Consultation Paper on MiFID II/MiFIR Implementation Katten
Oct
9
2020
 SEC Proposes Allowing ‘Finders’ to Raise Capital Without Registering as Broker-Dealers Katten
Mar
22
2015
 FINRA Issues Notice on Background Checks for Registration Applicants Katten
Mar
29
2015
 SEC Adopts Final Rules for Regulation A+ Offerings Katten
Apr
10
2015
 SEC Secures Victory on Fraud Allegations Against Technology Executive Katten
Dec
4
2020
 SEC Announces Proposed Amendments to Rule 701 and Form S-8 Katten
Dec
11
2020
 CFTC Interprets and Issues No-action Relief from Certain Clearing and Trade Execution Requirements & Provides Further Brexit-Related Relief to Provide Market Certainty Katten
Jan
8
2021
 SEC Digital Asset Securities, Internal Security-Based Swaps Joint Venture Statements Katten
May
11
2015
 Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 Katten
Jan
29
2021
 FCA Publishes SEC MoU on Financial Services Supervision Post-Brexit Katten
Feb
5
2021
 SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report Katten
May
26
2015
 Form BE-10 Filing Deadline Looms re: Foreign Investments by U.S. Persons Katten
Jun
5
2015
 FINRA Proposes Revised BrokerCheck Hyperlink Rule Katten
Jun
19
2015
 SEC Requests Public Comment on ETPs Katten
Jul
11
2015
 ESMA Publishes Final Report on Draft Rules Under MiFID II Katten
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