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
Dec
26
2012
 Lona Nallengara to Replace Cross as Corporation Finance Chief Katten
Jan
8
2018
 Bridging the Weeks: December 18, 2017 – January 5 and January 8, 2018 (Self-Certification; NY BitLicenses; Texas C&D; Trading Adverse to Employer) Katten
Feb
9
2013
 Institutional Shareholder Services ("ISS") Announces New Governance QuickScore Will Replace Governance Risk Indicators (GRId) to Identify Risks Within a Company Katten
Feb
24
2013
 Commodity Futures Trading Commission (CFTC) and International Organization of Securities Commissioners (IOSCO) to Host Roundtable on IOSCO Financial Benchmarks Report Katten
Mar
3
2013
 Supreme Court Ruling Lowers Class Action Hurdle for Securities Fraud Cases Katten
Mar
9
2013
 Supreme Court Denies Securities and Exchange Commission (SEC) Extra Time to Bring Enforcement Actions for Civil Penalties Katten
Mar
11
2013
 Frequently Asked Questions About Legal Entity Identifiers Katten
Mar
17
2013
 SEC Proposes Rules Regarding Technology Systems Katten
Mar
23
2013
 European Securities and Markets Authority (ESMA) Publishes European Market Infrastructure Regulation (EMIR) Q&As Katten
Apr
5
2013
 SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) Katten
Apr
8
2013
 Securities and Exchange Commission (SEC) Amends Filing Requirements for Dually Registered Clearing Agencies Katten
Jun
15
2018
 SEC Releases Updates to Custody Rule Frequently Asked Questions Katten
Mar
22
2023
 FINRA Proposes Changes to Arbitrator List Selection Process Katten
Aug
31
2018
 CFTC Releases No-Action Position on PCAOB Requirement to Communicate Critical Audit Matters Katten
Jul
19
2013
 Commodity Futures Trading Commission (CFTC) Seeks Public Comment on Wash Trade Advisory Katten
Nov
16
2018
 SEC Approves New Supplement to Options Disclosure Document Katten
Aug
16
2013
 Matria Healthcare Insider Traders Will Go to Trial Katten
Aug
24
2013
 Securities Exchange Commission (SEC), Commodity Futures Trading Comission (CFTC) and Financial Industry Regulatory Authority (FINRA) Issue Joint Advisory on Business Continuity and Disaster Recovery Planning Katten
Jan
7
2019
 Bridging the Weeks by Gary DeWaal: December 17, 2018 – January 4, 2019, and January 7, 2019 (Examination Priorities; AML Fines; Effective Cybersecurity Practices) Katten
Jan
25
2019
 FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter Katten
Feb
19
2019
 Bridging the Weeks by Gary DeWaal: February 4 – February 15 and February 19, 2019 (Cryptosecurities, Cryptocurrencies, Examination Priorities Redux) [Video] Katten
May
24
2019
 CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement Katten
Aug
17
2023
 DTCC Announces Wind Down of Global Markets Entity Identifier Business Katten
Jun
15
2019
 ESMA Updates Its Opinion on Ancillary Activity Calculations - 2019 Katten
Aug
25
2023
 SEC Adopts Controversial and Sweeping Changes to Private Fund Rules; Requires Documentation of Annual Compliance Reviews Katten
Jun
28
2019
 CFTC Publishes Request for Comment on Proposed Rule Change to Cross-Border Regulatory Commitments Katten
Jan
24
2014
 Delaware Court Rules in Favor of Former LLC Member in LLC’s Competition Claim Katten
Jul
15
2019
 Bridging the Week by Gary DeWaal: July 8 – 12, and July 15, 2019 (Crypto Custody; An International Exchange and Truth; One + One = Two) Katten
Mar
9
2014
 Court Grants Preliminary Approval of Settlement in Merger Case - District Court for the Western District of Pennsylvania Katten
Sep
20
2019
 CFTC Unanimously Approves Measures Related to Position Limits and Position Accounting for Security Futures Products and Public Rulemaking Procedures Katten
Mar
15
2014
 Securities & Exchange Commission (SEC) Prevails in Lawsuit Involving $50 Million Ponzi Scheme Katten
Sep
27
2019
 Institutional Investor Advocacy Group Proposes Limits to Multi-Class Voting by Delaware Companies Katten
Mar
30
2014
 Commodity Futures Trading Commission (CFTC) Requests Public Comment on ICE Swap Trade Packaged Transaction Rule Katten
Oct
18
2019
 SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion Katten
Apr
16
2014
 Foreign Listed Stock Index Futures and Options Approval Chart April 16, 2014 Katten
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