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
13
2013
 Second Circuit Bars Criminal Defendant from Accessing Assets Frozen by Regulators Katten
Jun
15
2018
 SEC Charges 13 Private Fund Advisers for Repeated Form PF Filing Failures Katten
Apr
21
2013
 SEC and Commodity Futures Trading Commission (CFTC) Adopt Joint Rules to Help Protect Investors from Identity Theft Katten
Jun
2
2013
 SEC Approves Financial Industry Regulatory Authority (FINRA) Rule Change That Requires Reporting Over-the-Counter (OTC) Equity Transactions Within 10 Seconds Katten
Jul
16
2013
 D.C. District Court Vacates SEC’s Resource Extraction Issuer Rule Katten
Jul
7
2023
 European Commission Proposes Legal Framework for Digital Euro Katten
Aug
9
2013
 Southern District of New York Dismisses Complaint Against Madoff-Invested Fund Katten
Aug
16
2013
 Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation 4.5; Also Adopts Changes Applicable to All CPOs Katten
Nov
2
2013
 New Jersey District Court Dismisses a Shareholder Suit for Failing to Plead Scienter Katten
Apr
19
2019
 FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination Katten
May
10
2019
 SEC-Proposed Amendments to Financial Disclosures for Acquisitions and Dispositions of Businesses Katten
May
24
2019
 Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs Katten
Sep
18
2023
 Offering of NFTs Allegedly Promoted as Investments Claimed To Be Unregistered Securities Offering by SEC in Settled Enforcement Action Katten
Jun
28
2019
 ESMA Publishes Updated l Transparency Calculations for Equity and Equity-like Instruments Katten
Jan
24
2014
 Securities and Exchange Commission (SEC) Obtains $5.6 Million Judgment Against Stockbroker for Insider Trading of Burger King Stock Katten
Jul
22
2019
 Bridging the Week by Gary DeWaal: July 15 – 19, and July 22, 2019 (Misvaluations for Higher Bonus; Failure to Supervise; New Eligible Block Trade Participants) Katten
Aug
9
2019
 FINRA Issues Regulatory Notice Reminding Members of the SEC’s Adoption of a Best Interest Standard of Conduct Katten
Mar
10
2014
 FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - Financial Industry Regulatory Authority Katten
Sep
20
2019
 CFTC and European Commission Issue Joint Statement Following Meeting on Cross-Border Derivatives Regulatory Issues Katten
Mar
15
2014
 Joint Audit Committee Adopts Template Acknowledgment Letters Katten
Mar
21
2014
 CFTC Requests Comment on Swap Data Reporting Rules - Commodity Futures Trading Commission Katten
Oct
18
2019
 SEC Announces the Formation of Asset Management Advisory Committee Katten
May
9
2014
 Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 11892 Katten
Jan
17
2024
 Neither a Borrower Nor a Lender Be! Katten
Jun
8
2014
 New Commodity Futures Trading Commission (CFTC) Commissioners Confirmed; Chairman Sworn In Katten
Jan
31
2020
 Federal Reserve Adopts Revamped Standards for Determinations of Bank Control Katten
Mar
8
2024
 SEC Finalizes Much-Anticipated Climate Disclosure Rules Katten
Mar
27
2020
 SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19 Katten
Aug
15
2014
 SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements Katten
Apr
3
2020
 ESMA Publishes Consultation Paper on Draft ITS under Regulation on Cross-Border Distribution of Funds Katten
Apr
10
2020
 SEC Publishes Risk Alerts Regarding Reg BI and Form CRS Katten
Sep
13
2014
 Commodity Futures Trading Commission (CFTC) Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs Katten
Sep
19
2014
 Council of Institutional Investors Issues Report on Board Evaluation Disclosure Katten
Apr
24
2020
 SEC Provides for Phased CAT Broker-Dealer Reporting Timelines Katten
Oct
10
2014
 Director of SEC Division of Corporation Finance Gives Speech on Securities Disclosure Katten
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