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
Feb
6
2015
 Additional Two-Year Clearing Reprieve for European Pension Schemes Katten
Feb
17
2015
 Agencies Issue Tool for Calculating Capital Requirements for Securitization Exposures Katten
Oct
30
2020
 CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation & Chairman Statement on Use of Staff Letters & Guidance Katten
Mar
23
2015
 SEC Approves ISE Rules on Information Barriers Between Customer and Proprietary Business Katten
Nov
20
2020
 CFTC Unanimously Approves Final Rule Amending SEF Requirements Katten
May
8
2015
 FINRA Proposes Exemption From the TAF for Proprietary Trading Firms Katten
Jun
26
2015
 FIA Market Technology Division Releases Recommendations to Prepare for Leap Second Event Katten
Apr
23
2021
 CFTC Issues Conditional Relief From Reporting Fully Collateralized Binary Option Data to Swap Data Repositories Katten
Aug
7
2015
 National Futures Association Grants Form PR Reporting Relief to Certain CTAs Katten
Aug
14
2015
 Hong Kong Securities and Futures Commission (HKSFC) Issues Circular on Application Process for Exemptive Relief Under CFTC Regulation 30.10 Katten
Dec
8
2015
 Questions and Answers Concerning Final Prudential Regulator Margin Rules for Non-Cleared Swaps Katten
Dec
18
2015
 CFTC Adopts Final Margin Rules for Swap Dealers Katten
Jan
25
2016
 Bridging the Week: January 18–22 and 25, 2016 (Manipulation; CFTC's Priorities; Misstating Fees and Valuation; Canada OTC Clearing; CFTC’s Finances) Katten
Feb
12
2016
 Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) Katten
Feb
19
2016
 SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies Katten
Apr
15
2016
 ESMA Publishes Opinion on Proposed EU Framework for Loan Origination by Investment Funds Katten
Jun
17
2016
 DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ Katten
Jul
13
2016
 SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans Katten
Oct
21
2016
 SEC Approves FINRA’s TRACE Amendments for CMO Transactions Katten
Oct
28
2016
 SEC Division of Corporation Finance Issues C&DIs on Exempt Offerings Under Rule 701 and Sales of Securities Under Rule 144(d) Katten
Dec
9
2016
 Supreme Court Rules on Insider Trading Involving Family and Friends Katten
Dec
19
2016
 Broken Order Router; Trading Illicitly for Mom; Manipulation: Reg SHO; Reg MAR - Bridging the Week: December 12 to 16 and December 19, 2016 [VIDEO] Katten
Jan
15
2017
 ESMA Publishes Follow-Up Report on Peer Review of Best Execution Katten
Feb
23
2017
 SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices Katten
Apr
3
2017
 Bridging the Week: March 27 to 31 and April 3, 2017 (Regulation Through Enforcement; Produce Or Be Fined; Spoofing; Undisclosed Mark-Ups) Katten
Aug
14
2017
 Bridging the Week: August 7 to 11 and August 14, 2017 (Spoofing; Disaggregation; Cybersecurity; Cooperation) [VIDEO] Katten
Sep
22
2017
 Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed Katten
Sep
29
2017
 SEC and Division of Corporation Finance Issue New Pay Ratio Disclosure Guidance Katten
Oct
7
2017
 ESMA Publishes Additional Guidance on Direct Electronic Access Katten
Oct
20
2017
 SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure Katten
Nov
15
2012
 Banking Agencies Expect to Delay Implementation of New Capital Rules Beyond January 1, 2013 Katten
Nov
25
2012
 CFTC Issues FAQ on Energy Agreements Katten
Oct
12
2022
 ICE Clear EU To Accept EUAs as Collateral Katten
Dec
16
2012
 CFTC Issues No-Action Relief from CPO Registration Katten
Dec
27
2017
 A review of the SEC Participating Affiliate No-Action Letters’ relief from Investment Advisers Act of 1940 registration for foreign investment advisers Katten
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