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
Jun
14
2022
 Katten Financial Markets and Funds Quick Take: June 2022 Katten
Jul
19
2022
 Financial Markets and Funds Quick Take | Issue 4 Katten
Aug
18
2017
 ESMA Updates MiFID II and MiFIR Transaction Reporting Guidelines Katten
Oct
28
2017
 SEC Approves PCAOB Rule to Require Enhanced Audit Reports Katten
Nov
13
2012
 A New Wave of Say-on-Pay and Executive Compensation Proxy Litigation Katten
Nov
18
2017
 ESMA Highlights ICO Risks Katten
Dec
8
2017
 ESMA Publishes Transitional Transparency Calculations for Equity and Bond Instruments Katten
Dec
25
2012
 SEC Issues Exemptive Order in Connection with Portfolio Margining of Cleared Swaps and Security-Based Swaps Katten
Dec
30
2012
 Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities Katten
Jan
11
2013
 Institutional Shareholder Services "ISS" Publishes Updated FAQs for its Proxy Voting Policies Katten
Dec
13
2022
 New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules Katten
Jan
20
2013
 FINRA Issues Annual Regulatory and Examination Priorities Letter for 2013 Katten
Feb
2
2013
 SEC Extends Expiration Date for Interim Final Rules Providing Exemptions for Security-Based Swaps Katten
Feb
20
2018
 Between Bridges – February 19, 2018: CFTC Says Futures Brokerage Firm’s Failure to Supervise Led to Unauthorized Cyber Attack; Trader Criminally Charged for Allegedly Misappropriating Employer’s Cryptocurrencies Katten
Mar
19
2018
 Bridging the Week: March 12 to 16 and 19, 2018 (Swaps De Minimis Level; SLR; SEFs; Insider Trading; ICOs) [VIDEO] Katten
Mar
10
2013
 Delaware Chancery Court Addresses Records Inspection Requests Standards Katten
Apr
13
2018
 SEC Confirms Record Retention Requirements With Third-Party Recordkeeping Services Katten
Mar
25
2013
 Banking Agencies Issue Guidance on Leveraged Lending Katten
Mar
31
2013
 New York District Court Bars Discovery of SEC's Requests for Extension Under Dodd-Frank Katten
Apr
7
2013
 Securities and Exchange Commission (SEC) Advisory Committee on Small and Emerging Companies Makes Recommendations Katten
Jul
28
2018
 FINRA Updates: Board of Governors Approve Rules & Simplified Arbitration Katten
Aug
20
2018
 Bridging the Week by Gary DeWaal: August 13 to 17 and August 20, 2018 (ICO Halted; Misappropriation of Client Funds Not Halted; Rogue Trading) Katten
Jun
16
2013
 Securities Class Representative Cannot Object to Bankruptcy Release on Behalf of Class Katten
Aug
25
2018
 SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements Katten
Jun
30
2013
 District Court Dismisses Class Action Suit Under Federal Tort Claims Act (FTCA) Against Securities Exchange Commission (SEC) Katten
Sep
24
2018
 Bridging the Week by Gary DeWaal: September 17 - 21 and September 24, 2018 (Spoofing; Cryptocurrency Trading Platforms; Post-Trade Allocations) Katten
Oct
15
2018
 Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets) Katten
Aug
30
2013
 SEC Requires Admission of Wrongdoing as Part of Settlement Katten
Sep
13
2013
 Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives Katten
Feb
4
2019
 Bridging the Week by Gary DeWaal: January 28 – February 1 and February 4, 2019 (Spoofing; SEF Trading; Security Tokens; Bitcoin Sales) [VIDEO] Katten
Sep
27
2013
 Securities and Exchange Commission (SEC) Adopts Municipal Advisor Registration Requirements Katten
Jul
26
2023
 CFPB's Focus on Standard-Form Consumer Agreements Warrants 'Fresh Eyes' on Consumer Template Disclosures Katten
Oct
5
2013
 SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel Katten
Mar
4
2019
 Bridging the Week by Gary DeWaal: February 25 – March 1 and March 4, 2019 (Appeal Not Appealing; Purported Fraudster Indicted for Fraud) Katten
Oct
13
2013
 SEC Launches Public Website for Analyzing Exchange Data Katten
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