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
Jul
6
2020
 LIBOR Preparedness Exams Are Coming – Is Your Firm Ready? Katten
Dec
7
2014
 NFA Proposes Amendment to NFA Compliance Rule 2-4 Katten
Jul
31
2020
 Securities and Exchange Commission (SEC) This Week Katten
Jan
17
2015
 New Law Aligns Clearing and Margin Exceptions for Swaps Katten
Jan
23
2015
 Tenth Circuit Affirms Dismissal of Securities Class Action for Failing to Plead Scienter Under the PSLRA Katten
Sep
25
2020
 SEC Adopts Shareholder Amendments & Issues C&DI Katten
Feb
17
2015
 SEC Publishes Rules for Reporting Security-Based Swaps Katten
Feb
20
2015
 SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers Katten
Oct
23
2020
 CFTC Issues Staff Advisory on Virtual Currency & Approves Final Rule on Security Futures Margin Katten
Mar
23
2015
 SEC Charges Insiders for Failure to Update Schedule 13D Disclosures Katten
Feb
26
2021
 SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers Katten
Jun
5
2015
 National Futures Association (NFA) Proposes Amendments to Its Articles of Incorporation Katten
Jun
12
2015
 Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities Katten
Jun
19
2015
 SEC Denies Motion to Stay Regulation A+ Katten
Jun
26
2015
 Final Rules Concerning the Restrictions Imposed On the Retail Distribution of CoCos and Other Regulatory Capital Instruments Katten
Apr
17
2021
 SEC Approves Amendments to NYSE Shareholder Approval Rules for Certain Equity Issuances and Requirements for Related Party Transactions Katten
Jul
13
2015
 SEC Proposes Rule Requiring Executive Compensation Clawbacks Katten
Apr
30
2021
 SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors Katten
Aug
3
2015
 Bridging the Week: July 27 - 31 and August 3, 2015 (No Passport; Spoofing; Wash Trades; Position Limits, Bitcoin; Rogue Trading) Katten
Aug
31
2015
 Bridging the Week: August 24 - 28 and 31, 2015 (Net Capital, Flash Boys, Forum Choice, AML, Investment Advisers and Regulatory Equivalency) Katten
Nov
9
2015
 Bridging the Week: November 2 - 6 and 9 2015 (Spoofing Conviction; Financial Crimes; CCOs; Tweets and Manipulation) Katten
Jan
19
2016
 SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries Katten
Jan
22
2016
 Extension of Time-Limited, Conditional No-Action Relief Regarding Masking Certain Reportable Identifying Information Katten
Feb
1
2016
 Bridging the Week: January 25 – 29 and February 1, 2016 (Money Market Funds; Independent IBs; FERC Jurisdiction; Pre-Execution Communications) Katten
Feb
19
2016
 SEC Issues No-Action Letters With Respect to Rule 14a-8(i)(10) Katten
Mar
3
2022
 Client Alert: Proposed SEC Rules for Investment Advisers and Regulated Funds, and New FTC Safeguard Rule Applicable to Private Funds Katten
Mar
28
2016
 Bridging the Week: March 21 - 25, and 28, 2016 (Spoofing; Position Limits; FINRA Authority; Large Trader Reports; Algorithmic Trading) Katten
Apr
4
2016
 Complex Regulation; Accessible Data; EFRPs; Blockchain; ISDAfix - Bridging the Week: March 28 – April 1, and 4, 2016 [VIDEO] Katten
May
5
2022
 SEC Proposes Climate-Related Disclosure Requirements Katten
May
11
2022
 Katten Financial Markets and Funds Quick Take: May 2022 Katten
Jun
6
2016
 Bridging Weeks: AML; DLT; Attempted Manipulation; Manipulative Device; Registration; EFRPs; Block Trades; Hedge Exemptions Katten
Jun
10
2016
 FINRA Releases Notice Regarding the SEC’s Approval of Algorithmic Trading Developer Registration Requirements Katten
Jul
18
2016
 Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions Katten
Sep
2
2016
 SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities Katten
Aug
1
2022
 Futures Intermediaries: Pre-Hedge Block Trades At Your Own Risk Katten
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