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
Mar
17
2019
 NFA Issues Notices I-19-07 & I-19-08 Katten
Oct
25
2013
 SEC Proposes New Rules for Crowdfunding Exemption Katten
Nov
2
2013
 Commodity Futures Trading Commission (CFTC) CFTC Adopts Rules Regarding the Protection of Collateral and Treatment of Securities in a Portfolio Margining Account in a Bankruptcy Katten
Apr
12
2019
 SEC Adopts Rules to Modernize and Simplify Disclosure Katten
Nov
15
2013
 SEC Division of Corporation Finance Issues 11 New C&DIs (Compliance and Disclosure Interpretations) Katten
Nov
22
2013
 Delaware Chancery Court Permits Shareholder to Bring Fiduciary Claim for Board’s Violation of a Stock Incentive Plan Katten
Dec
22
2013
 Securities and Exchange Commission (SEC) Proposes Rules for “Regulation A+” Offerings Katten
Jan
10
2014
 ArthroCare to Pay $30 Million Fine to Settle Department of Justice (DOJ) Probe Katten
Jul
1
2019
 SEC Adopts Additional Rules for Security-Based Swaps Katten
Sep
20
2019
 CFTC Extends Public Comment Period for Proposed Rules Pertaining to Cross-Border Clearing Katten
Mar
17
2014
 Commodity Futures Trading Commission (CFTC) Announces Available-to-Trade Determinations Katten
Mar
21
2014
 Amendments to Uniform Branch Office Registration Form Katten
Oct
4
2019
 SEC Proposes to Amend Quotation Rule for OTC Securities Katten
Sep
7
2023
 FINRA Settles First Significant CAT Reporting Enforcement Action Katten
Apr
4
2014
 Appropriate Cautionary Language Leads to Dismissal of Investor’s Securities Fraud Suit Katten
May
23
2014
 Securities and Exchange Commission (SEC) Alleges Fraud from Unregistered Offerings of Oil and Gas Securities Katten
Oct
24
2023
 SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law Katten
Jun
9
2014
 National Futures Association (NFA) Issues Notice Regarding Changes to Form PQR and Form PR Katten
Jun
13
2014
 US Marshals Service Announces Auction of Silk Road Bitcoins Katten
Feb
8
2020
 New Rate for Fees Paid Under Section 31 of the Exchange Act Katten
Jun
20
2014
 Securities and Exchange Commission (SEC) Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud Katten
Jun
27
2014
 Commodity Futures Trading Commission (CFTC) Extends Relief to Futures Commission Merchants (FCMs) from Certain Commingling Requirements Katten
Aug
15
2014
 New York District Court Considers Prior SEC Complaint Evidence to Establish Scienter Under Private Securities Litigation Reform Act (PSLRA) Katten
Jan
23
2024
 SEC’s Spring 2023 Rulemaking Agenda: Spotlight on Investment Advisers, Broker-Dealers and Certain Funds Katten
Sep
13
2014
 Federal Reserve and Consumer Financial Protection Bureau (CFPB) Announce Increases in Dollar Thresholds in Regulations Z and M for Exempt Consumer Credit and Lease Transactions Katten
Sep
21
2014
 Commodity Futures Trading Commission (CFTC) Proposes Margin Rules for Uncleared Swaps Katten
Oct
3
2014
 Financial Industry Regulatory Authority, Inc (FINRA) Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System Katten
Oct
10
2014
 European Securities and Markets Authority (ESMA) Clearing Obligations for Foreign-exchange Non-deliverable Forwards (FX NDF) and IRS Katten
Oct
17
2014
 SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition Katten
Oct
25
2014
 SEC Sanctions Athena in First High-Frequency Trading Manipulation Case Katten
Nov
1
2014
 UK Regulators Launch Review of Fixed Income, Foreign Exchange and Commodities Markets Katten
Nov
7
2014
 SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution Katten
Jun
26
2020
 CFTC Approves Two Final Rules and Two Proposed Rules at June 25 Open Meeting Katten
Jul
24
2020
 SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice Katten
Jan
12
2015
 ICE Futures U.S. Adopts Disruptive Trading Practices Rule Katten
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