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
Apr
14
2018
 IOSCO Produces CCP Stress Test Framework Katten
Mar
22
2023
 FINRA Proposes Changes to Arbitrator List Selection Process Katten
Apr
1
2013
 New International Swaps and Derivatives Association (ISDA) Protocol for Swap Documentation Katten
Apr
7
2013
 Commodity Futures Trading Commission Approves Clearing Exemption for Inter-Affiliate Swaps Katten
May
10
2013
 SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute Katten
May
19
2013
 Office of the Comptroller of the Currency (OCC) Issues Clarification of the Treatment of Certain Sovereign and Securitization Positions Katten
Jul
20
2018
 SEC Amends the Definition of “Smaller Reporting Company” Katten
Jun
8
2013
 SEC Issues FAQs on Conflict Minerals and Payments by Resource Extraction Issuers Katten
Jul
1
2013
 Second Circuit Affirms Dismissal of Madoff Trustee’s Common Law Claims Katten
Oct
5
2018
 CFTC Releases White Paper Addressing Cross-Border Swaps Regulation; CFTC and Australian Securities Regulator Sign FinTech Cooperation Agreement Katten
Dec
17
2018
 Bridging the Week by Gary DeWaal: December 10 - 14 and December 17, 2018 (Bitcoin; Ether; Blue Sheets; CPO Internal Controls; Disruptive Trading) Katten
Sep
14
2013
 Commodity Futures Trading Commission (CFTC) Grants Relief to CPOs Trading Through Subsidiaries Katten
Sep
20
2013
 Commodity Futures Trading Commission (CTFC) Seeks Comments on Amended Exchange for Related Position (EFRP) Rule Katten
Sep
28
2013
 Ninth Circuit Rejects Securities Fraud Suit for Failure to Demonstrate Loss Causation Katten
Oct
6
2013
 Commodity Futures Trading Commission (CFTC) Staff Issues No-Action Letters Relating to Swap Execution Facilities Katten
Aug
17
2023
 DTCC Announces Wind Down of Global Markets Entity Identifier Business Katten
Aug
25
2023
 SEC Adopts Controversial and Sweeping Changes to Private Fund Rules; Requires Documentation of Annual Compliance Reviews Katten
Apr
8
2019
 Bridging the Week by Gary DeWaal: April 1 – 5 and April 8, 2019 (You Say Security, I Say Utility; Midtrial Acquittal) Katten
Apr
26
2019
 OCIE Issues Risk Alert on Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P Katten
Dec
8
2013
 FINRA (Financial Industry Regulatory Authority) Issues New Rules on Securities Borrowing, Customer Protection and Callable Securities Katten
Jan
3
2014
 FINRA (Financial Industry Regulatory Authority) Issues Annual Regulatory and Examination Priorities Letter for 2014 Katten
Jul
19
2019
 ESMA Consults on Compliance Function for UK and EU Investment Firms Katten
Feb
2
2014
 Shareholder Derivative Suit Dismissed for Failure to Show Demand Futility Katten
Feb
24
2014
 Securities and Exchange Commission (SEC) to Examine Never-Before Examined Registered Investment Advisers Katten
Aug
23
2019
 SEC Announced Charges for Regulation FD Violations Katten
Mar
2
2014
 CFTC Issues Advisory on Compliance with Gramm-Leach-Bliley Act Security Safeguards - Commodity Futures Trading Commission Katten
Mar
9
2014
 SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments - Securities and Exchange Commission Katten
Mar
14
2014
 Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rules 2210 and 2214 Katten
Nov
1
2019
 SEC Issues Order Instituting Proceedings Regarding CBOE’s Proposed Rule Change on Off-Floor Position Transfers Katten
Nov
8
2019
 SEC Proposes Changes to the Advertising and Cash Solicitation Rules for Investment Advisers Katten
Apr
27
2014
 Proposed Amendments to Delaware General Corporation Law and Courts and Judicial Procedure Law Katten
Dec
21
2019
 FINRA’s Board of Governors Approves Two Rule Proposals Katten
May
16
2014
 Financial Industry Regulatory Authority (FINRA) Proposes Changes to FINRA Rules 7410 and 2121 Katten
Jan
31
2020
 SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A Katten
Feb
21
2020
 ESMA Consults on Third-Country Reporting Under MiFID II and MiFIR Katten
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