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
Mar
11
2016
 SEC Announces Creation of Office of Risk and Strategy Katten
Mar
18
2016
 Draft RTS on Risk-Mitigation Procedures for OTC Derivatives Not Cleared by CCPs Published by EU Supervisory Authorities Katten
Apr
15
2016
 European Commission Adopts Delegated Act in Relation to MiFID II Katten
Apr
25
2016
 Bridging the Week: April 18 - 22 and 25, 2016 (SEF Claims Foul; Compensation Deferrals and Claw-Backs; Financial Stability) Katten
Jun
6
2016
 CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits Katten
Jun
27
2016
 Bridging the Week: Brexit; Reg AT; Reserve and Control; Hacking; Manipulation; Block Trades; EFRPs Katten
Aug
5
2016
 FINRA Adopts Amendments on Resumption of Trading Katten
Sep
2
2016
 SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories Katten
Nov
4
2016
 SEC Adopts Amendments to Rules 147 and 504, Adopts Rule 147A and Repeals Rule 505 Katten
Feb
10
2017
 Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule Katten
Aug
29
2022
 SEC Proposes to Clear-Up Clearing Agencies' Governance to Mitigate Directors' Potential Conflicts of Interest Katten
Jul
21
2017
 SEC Chairman Clayton Makes First Public Speech Outlining His Vision for the Commission Katten
Oct
6
2017
 SEC Provides Regulatory Relief to Companies Impacted by Recent Hurricanes Katten
Dec
3
2012
 SEC Posts Small Entity Compliance Guide Regarding Conflict Minerals Disclosure Katten
Dec
8
2012
 CFTC Grants Temporary No-Action Relief from Clearing Requirement for Swaps Between Affiliated Counterparties Katten
Dec
16
2012
 FSA Expresses Concerns About Outsourcing by Asset Managers Katten
Jan
6
2018
 ESMA Publishes Statement on LEIs under MiFIR Katten
Jan
13
2013
 Proposed Rule Change to Amend FINRA Rule Regarding Investor Education and Protection Disclosures Katten
Jan
29
2018
 Bridging the Week: January 22 to 26, and 29, 2018 (Fake Coins, Real News; “It Depends” Advice; Market Abuse; Insider Information) [VIDEO] Katten
Feb
15
2013
 Financial Industry Regulatory Authority (FINRA) Proposes Rule Change that Would Require Reporting Over-the-Counter (OTC) Equity Transactions Within 10 Seconds Katten
Mar
2
2013
 Securities and Exchange Commission (SEC) Division of Trading and Markets Discusses Issues with Exchange-Traded Products Katten
Mar
9
2013
 Commodity Futures Trading Commission (CFTC) Approves Chicago Mercantile Exchange (CME) Swap Data Reporting Rule Katten
Mar
16
2013
 Futures Commission Merchants "FCMs" Required to Have Chief Compliance Officer by March 29 Katten
Mar
22
2013
 NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers Katten
Apr
7
2013
 Federal Deposit Insurance Corporation (FDIC) Announces Availability of Educational Videos Katten
Apr
13
2013
 SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft Katten
Apr
19
2013
 National Futures Association (NFA) Amends Futures Commission Merchants Capital Requirements for Forex Transactions with ECPs Katten
Jun
1
2013
 National Futures Association (NFA) Issues Notice to Members Regarding Section 16 Financial Requirements for Cleared Swaps Customer Collateral Katten
Aug
6
2018
 Bridging the Weeks by Gary DeWaal: July 23 to August 3 and August 6, 2018 (Post-Trade Allocations; Exchange-Traded Products; Statutory Requirements) Katten
Jul
26
2023
 CFPB's Focus on Standard-Form Consumer Agreements Warrants 'Fresh Eyes' on Consumer Template Disclosures Katten
Aug
23
2013
 Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also Adopts Changes Applicable to All CPOs Katten
Jan
4
2019
 FINRA Files Proposed Rule Change Regarding Arbitration Subpoenas, Orders of Appearance of Witnesses and Production of Documents Katten
Jan
25
2019
 ESMA Updates MiFID II Transitional Transparency Calculations for Electricity Derivatives Katten
Sep
18
2023
 The Second Circuit Agrees: Loans are Not Securities Katten
Feb
15
2019
 ESMA Publishes List of Thresholds Below Which an EU Prospectus Is Not Required Katten
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