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
27
2013
 National Futures Association (NFA) Amends Commodity Pool Operators and Commodity Trading Advisors (CTA) Quarterly Reporting Requirements Katten
Jul
20
2018
 SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems Katten
Jun
1
2013
 European Securities and Markets Authority (ESMA) Approves Co-Operation Agreements With 34 non-European Economic Area (EEA) Jurisdictions Katten
Jun
8
2013
 SEC Approves Financial Industry Regulatory Authority (FINRA) Rule Change That Requires Reporting Over-The-Counter Equity Transactions Within 10 Seconds Katten
Sep
24
2018
 SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models Katten
Jul
15
2013
 SEC Announces Three New Anti-Fraud Enforcement Initiatives Katten
Oct
5
2018
 ESMA Updates Its Opinion on Ancillary Activity Calculations Katten
Aug
6
2013
 Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations Katten
Dec
16
2018
 NFA Proposes Amendments Incorporating Swaps into Compliance Rules and Interpretive Notices; NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems Katten
Aug
31
2013
 SEC Accuses Investment Adviser of Misrepresenting Its Algorithmic Trading Capacity Katten
Sep
14
2013
 Former Head of Investor Relations Penalized by SEC for Selectively Disclosing Material Nonpublic Information, While Self-Disclosing Company Escapes Charges Katten
Mar
11
2019
 Bridging the Week by Gary DeWaal: March 4 – 8 and March 11, 2019 (Bribing Is Wrong; Smarter Swaps APs Are Better; Commercially Reasonable Prices for EFRPs Are Best) Katten
Oct
14
2013
 Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer Katten
Mar
31
2019
 FINRA Proposes Data Service for Corporate Bond New Issues Katten
Apr
26
2019
 CFTC Approves Final Rule Providing Exception to Annual Privacy Notice Requirements Katten
Nov
25
2013
 Futures Industry Releases Insurance Study Katten
Dec
6
2013
 NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence Katten
Jan
3
2014
 Agencies Appear to Signal Retreat on Collateralized Debt Obligations (CDOs) backed by Trust Preferred Securities (TruPS) Issue Katten
Feb
2
2014
 Federal Trade Commission (FTC) Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications Katten
Aug
5
2019
 Bridging the Week by Gary DeWaal: July 29 – August 2, and August 5, 2019 (Parallel Spoofing Charges; UK Regulator’s Digital Asset Perimeter) Katten
Feb
21
2014
 OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - Re: Over-the-counter Financial Trading Markets Katten
Aug
23
2019
 SEC Issues New Guidance Regarding Proxy Voting Responsibility of Investment Advisers and the Applicability of Proxy Rules to Proxy Voting Advice Katten
Mar
9
2014
 CFTC to Host Roundtable on End-Users - Commodity Futures Trading Commission Katten
Mar
14
2014
 Securities & Exchange Commission (SEC) Proposes Rules to Enhance Oversight of Clearing Agencies Katten
Mar
28
2014
 Proposed Changes to Financial Industry Regulatory Authority (FINRA) Classification of Hybrid Securities for Trade Reporting Purposes Katten
Nov
8
2019
 SEC Announces Extension of Temporary Measure to Facilitate Implementation of MiFID II Katten
Apr
27
2014
 Securities and Exchange Commission (SEC) Division of Corporation Finance Issues New Compliance and Disclosure Interpretations (C&DIs) Relating to Social Media Use Katten
May
2
2014
 Securities and Exchange Commission (SEC) Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule Katten
Dec
20
2019
 SEC Proposes New Rules to Implement Resource Extraction Disclosure Rules Katten
May
16
2014
 Commodity Futures Trading Commission (CFTC) Staff Announces Streamlined No-Action Relief Process for Certain CPOs (Commodity Pool Operators) Katten
Feb
21
2020
 FINRA Requests Comment on Enhancements to the Continuing Education Program for Securities Industry Professionals Katten
Mar
6
2020
 SEC Proposes Rule Changes to Harmonize and Simplify Offering Exemptions Katten
Jul
18
2014
 Financial Industry Regulatory Authority (FINRA) Proposes to Adopt Rules on Quotation Requirements for Over-the-Counter Equity Securities Katten
Mar
27
2020
 CFTC Issues Final Interpretive Guidance on Actual Delivery for Digital Assets Katten
Apr
2
2020
 COVID-19 Impact on Public Disclosure on SEC Reporting Companies Katten
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