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
10
2020
 SEC Division of Corporation Finance Issues C&DI about Conditional Relief Order and Incorporation by Reference Into Form 10-K Katten
Oct
10
2014
 Fifth Circuit Holds Multiple Disclosures Establish Loss Causation in Securities Action Katten
Oct
17
2014
 Investment Adviser Challenges Constitutionality of SEC Administrative Proceedings Katten
Oct
27
2014
 Financial Industry Regulatory Authority (FINRA) Remarks at the National Society of Compliance Professionals Conference Katten
Nov
5
2014
 CFTC, SEC, and the Korea Financial Services Commission: Bridging the Week: October 27 to 31 and November 3, 2014 Katten
Nov
9
2014
 Raj Rajaratnam Appeals $92 Million Civil Fine to Second Circuit Court of Appeals Katten
Dec
5
2014
 FINRA Issues Notice on TRACE Trade Reporting Obligations Katten
Dec
15
2014
 European Securities and Markets Authority (ESMA) Reviews Supervisory Practices on MiFID Investor Information Katten
Dec
19
2014
 Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors Katten
Aug
21
2020
 Amendments to Risk Disclosure Statements for Security Futures Contracts Become Effective Katten
Sep
4
2020
 SEC Stays Implementation of New NYSE Direct Listing Rules Katten
Sep
16
2020
 Public Company Acquired Company Financial Statement Rules Katten
Oct
2
2020
 CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule & Holding Open Commission Meeting on October 6 Katten
Mar
10
2015
 Georgia Complaint Challenges Constitutionality of SEC Administrative Proceedings Katten
Mar
20
2015
 Global Regulators Push Back Margin Requirements for Non-Cleared Derivatives Katten
Nov
6
2020
 SEC Approves Amendments to Harmonize and Simplify Offering Exemptions Katten
Mar
28
2015
 FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions Katten
Dec
4
2020
 CFTC Staff Extends Existing Brexit-Related Relief to Provide Market Certainty & Temporary Relief to DTCC Data Repository LLC and Related Entities from Reporting Requirements Katten
Apr
26
2015
 Finance Post: CFTC Issues No-Action Relief for SEF Confirmation Katten
Jan
8
2021
 SEC Proposes Rule 144 Tacking Amendments Katten
Jan
15
2021
 FINRA Postpones Implementation of Mandatory Margin for Covered Agency Transactions Katten
May
25
2015
 Section 16(b) Decision Provides Important Guidance Katten
Feb
12
2021
 SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility Katten
Jun
19
2015
 Theme of Corporate Governance in Alternative Investment Funds Continues to be Debated Katten
Jul
10
2015
 SEC Division of Investment Management Issues Guidance Update Relating to Rule 204A-1 of the Investment Advisers Act Katten
Apr
27
2021
 ESG Issues Become Leading Concern for SEC and CFTC: SEC Warns Investment Advisers and Funds About ESG Disclosures Katten
Jul
17
2015
 SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme Katten
Jul
31
2015
 SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting Katten
Aug
28
2015
 The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Kill Switch for NOM Katten
Sep
13
2015
 SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators Katten
Sep
18
2015
 SEC Extends Specified Temporary Relief Related to Security-Based Swaps Katten
Nov
2
2015
 Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) Katten
Nov
7
2015
 SEC Adopts Final Crowdfunding Rules, Completing JOBS Act Rulemaking Katten
Jan
5
2016
 Bridging the Week: December 21 – 31, 2015, and January 4, 2016 (MF Global; Blue Sheets; New Product Blues; Tag 50s; The Big Short) Katten
Jan
28
2016
 SEC Proposed Rule 18f-4 Would Severely Restrict Use of Derivatives by Investment Companies Katten
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