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
Aug
18
2017
 SEC Issues Risk Alert on Observations From Cybersecurity Examinations Katten
Aug
25
2017
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2018 Katten
Oct
16
2017
 Bridging the Week: October 9 – 13 and October 16, 2017 (Spoofing; Supervision; De Minimis Threshold; Automated Trading System Gone Bad) [VIDEO] Katten
Nov
19
2012
 Court Finds Defendants Jointly and Severally Liable for Disgorgement and Prejudgment Interest Award in Ponzi Scheme Case Katten
Dec
10
2012
 SEC Sets Rulemaking Agenda for 2013 Katten
Dec
27
2012
 Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs Katten
Feb
5
2018
 Bridging the Week by Gary DeWaal: January 29 to February 2, and February 5, 2018 (Spoofing; FCMs; Software Development; ICOs; Block Trades) [VIDEO] Katten
Jan
27
2013
 National Futures Association "NFA" Issues Notice Regarding CTA Reporting Requirements Katten
Feb
5
2013
 National Futures Association (NFA) to Require Commodity Pool Operators (CPOs) to Identify Registered Investment Companies Katten
Feb
11
2013
 trueEX Requests that Commodity Futures Trading Commission (CFTC) Amend Order of Designation as a Contract Market Katten
Feb
18
2013
 Commodity Futures Trading Commission (CFTC) Permits Cantor Clearinghouse to Clear Certain Foreign Exchange Options Katten
Mar
27
2023
 UK High Court Hands Down Decision in Sova Capital Katten
Feb
26
2013
 Southern District of New York (SDNY) Favors the Securities & Exchange Commission (SEC) in Foreign Corrupt Practices Act Action Involving Novel Issues of Statutory Interpretation Katten
Mar
22
2018
 Blockchain Technology May Enable Tracing in Securities Act Litigation Katten
Mar
24
2013
 Federal Court Rejects "Core Operations" Theory of Scienter in Battery Manufacturer Fraud Case Katten
Apr
6
2013
 Federal Court Dismisses Securities Class Action Alleging Misrepresentations About "Cannibalization" Katten
Apr
15
2013
 Chicago Mercantile Exchange (CME) Block Trade Advisories Clarify Nonpublic Information Restrictions Katten
May
3
2013
 Gaming Company's Regulatory Delays Insufficient to Give Rise to a Securities Fraud Claim Katten
Jun
15
2013
 Commodity Futures Trading Commission (CFTC) Delays Effective Date for Clearing Exemption for Swaps Between Affiliates Katten
Sep
10
2018
 Bridging the Week by Gary DeWaal: August 27 to September 7 and September 10, 2018 (Quantitative Models; Cross-Border Swaps Guidance; The Meanings of “Or” and “Actual Delivery”) Katten
Sep
28
2018
 ECON Votes to Adopt Draft Reports on Revised EU Prudential Framework for Investment Firms Katten
Aug
18
2013
 Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations (SIDCO) Katten
Jan
22
2019
 Bridging the Week by Gary DeWaal: January 14 – 18 and January 22, 2019 (Hacking at the SEC; Digital Assets; Spoofing) [Video] Katten
Feb
9
2019
 BoE and ESMA Agree No-Deal MoUs on Recognition of UK CCPs and CSDs Katten
Oct
4
2013
 Commodity Futures Trading Commission (CFTC) Issues Order Relating to the Continuation, Shutdown and Resumption of Operations Following a Lapse in Appropriations Katten
Mar
8
2019
 ESMA Statement on Application of MiFID II, MiFIR and BMR Provisions in No-Deal Brexit Katten
Mar
22
2019
 CFTC Announces Energy and Environmental Markets & Global Markets Advisory Committee Meetings Katten
Oct
18
2013
 SEC Chair Speaks on Public Company Disclosure Katten
Apr
5
2019
 ESMA Updates Q&As on the Application of the AIFMD Katten
Apr
12
2019
 FINRA Proposes Rule Extending the Pilot Program Related to Exchange-Listed Securities Katten
Sep
18
2023
 The Post-Brexit Future of the UK’s Securitisation Regime Takes Shape Katten
May
6
2019
 SEC Extends Compliance Date for Regulation NMS Changes Katten
Nov
22
2013
 Chicago Mercantile Exchange Issues Advisory Notice on Wash Trades Katten
May
17
2019
 SEC Proposes Amendments to Update the Accelerated and Large Accelerated Filer Definitions Katten
Jun
7
2019
 SEC Approves Amendments to FINRA’s Codes of Arbitration Procedure for Customer and Industry Disputes Katten
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