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
16
2016
 SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings Katten
Jan
21
2017
 ESMA Publishes Briefing on MiFID II Technical Data Reporting Requirements Katten
Jul
31
2017
 Bridging the Week: July 24 to 28 and July 31, 2017 (Bitcoin Derivatives Clearinghouse; Digital Tokens for Fund-Raising; Bitcoin Alleged Criminal Activity; Spoofing; Reg MAR) [VIDEO] Katten
Aug
3
2022
 Futures Audit Trails Requirements: A Compliance Minefield? Katten
Oct
29
2017
 ESMA Agrees to MiFID II Position Limits Proposed by FCA Katten
Nov
14
2012
 Financial Industry Regulatory Authority (FINRA) Amends Rules Relating to Research Analysts and Research Reports Katten
Dec
3
2012
 SEC Publishes List of Rules to Be Reviewed Over Next 12 Months Katten
Oct
12
2022
 CFTC Brings Enforcement Action against Digital Exchange and Natural Person Controller Suggesting Native Cryptoasset is a Commodity and Not a Security Katten
Dec
26
2012
 European Commission Adopts Alternative Investment Fund Managers Directive "AIFMD" Level 2 Regulation Katten
Jan
5
2018
 SEC Provides Notice of Fixed Income Market Structure Advisory Committee Katten
Jan
12
2013
 FINRA Provides Guidance on Rules Governing Communications with the Public Katten
Feb
3
2013
 MF Global UK Judgment Clarifies Law on Client Money Entitlement Katten
Mar
9
2018
 SEC Releases Statement on Platforms Trading Digital Assets Katten
Apr
2
2018
 Bridging the Week: March 26 to 30 and April 2, 2018 (AML; Red Flags; Pump and Dump; Bitcoin ETFs) [VIDEO] Katten
Mar
16
2013
 Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee Katten
Apr
14
2018
 IOSCO Produces CCP Stress Test Framework 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
Mar
22
2023
 FINRA Proposes Changes to Arbitrator List Selection Process 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
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
Aug
17
2023
 DTCC Announces Wind Down of Global Markets Entity Identifier Business Katten
Jan
3
2014
 FINRA (Financial Industry Regulatory Authority) Issues Annual Regulatory and Examination Priorities Letter for 2014 Katten
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