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
May
10
2015
 District Court Dismisses Securities Class Action Against Electronic Arts Katten
Jul
10
2015
 SEC Enforcement Action Signifies the Need for Investment Advisers to Adopt Written Expense Allocation Policies Katten
Jul
17
2015
 SEC Brings Complaint in $68 Million Affinity Fraud Scheme Katten
Sep
11
2015
 SEC Charges Four Individuals and Nutrition Company for Failure To Disclose Executive Perks Katten
Aug
16
2021
 SEC Approves Nasdaq's Board Diversity Disclosure Requirements Katten
Oct
5
2015
 Bridging the Week: September 21 to 25 and 28, 2015 (Aggregation, Cybersecurity, Wash Sales, Fund Redemptions, IB Records, CTA Registration) Katten
Jan
8
2016
 SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act Katten
Feb
5
2016
 SEC Approves FINRA’s Funding Portal Rules Katten
Feb
22
2016
 Bridging the Week: February 15 – 19 and 22, 2016 (Culture; False Documents; Home Court Advantage; Trade Options; Automated Trading Systems) Katten
Feb
27
2016
 Federal Banking Agencies Release Economic Scenarios for 2016 Stress Testing Katten
Apr
6
2022
 SEC Deals New Proposal to Expand Reach of Dealer Registration Requirements Katten
Apr
8
2016
 SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items Katten
Apr
29
2016
 SEC Seeks Public Comment on Consolidated Audit Trail Proposal Katten
May
13
2016
 SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants Katten
Jul
15
2016
 SEC Increases Dollar Amount of the Net Worth Threshold Test for “Qualified Clients” in Rule 205-3 Under the Investment Advisers Act of 1940 Katten
Oct
7
2016
 SEC Staff Issues Three No-Action Letters Regarding Proxy Access Proposals Katten
Oct
15
2016
 ESMA Advice to ECON on the Application of the AIFMD Passport to Non-EU AIFMs and AIFs Katten
Jan
6
2017
 President-Elect Trump Nominates Clayton as SEC Chair Katten
Mar
10
2017
 FINRA Proposes Rule to Revise Qualification and Registration Requirements Katten
Mar
24
2017
 SEC Adopts Amendment to Shorten Settlement Cycle for Securities Transactions Katten
Apr
10
2017
 Bridging the Week: April 3-7 and 10, 2017 (Advancing Nominee; Third Party Funds’ Transfers; Record Retention) [VIDEO] Katten
Aug
29
2022
 SEC Proposes to Clear-Up Clearing Agencies' Governance to Mitigate Directors' Potential Conflicts of Interest Katten
Jun
26
2017
 Bridging the Week: June 19 to 23 and June 26, 2017 (Costs and Benefits Don’t Add Up; Floor Trading; LOPR; MiFID II and Direct Market Access) [VIDEO] Katten
Jul
15
2017
 ESMA Consults on Guidelines on MiFID II Suitability Requirements Katten
Aug
7
2017
 Bridging the Week: July 31 to August 4 and August 7, 2017 (Volcker; Spoofing; Distributed Ledger; New Commissioners) [VIDEO] Katten
Aug
18
2017
 SEC Issues Risk Alert on Observations From Cybersecurity Examinations Katten
Aug
25
2017
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2018 Katten
Oct
16
2017
 Bridging the Week: October 9 – 13 and October 16, 2017 (Spoofing; Supervision; De Minimis Threshold; Automated Trading System Gone Bad) [VIDEO] Katten
Nov
19
2012
 Court Finds Defendants Jointly and Severally Liable for Disgorgement and Prejudgment Interest Award in Ponzi Scheme Case Katten
Dec
10
2012
 SEC Sets Rulemaking Agenda for 2013 Katten
Dec
27
2012
 Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs Katten
Feb
5
2018
 Bridging the Week by Gary DeWaal: January 29 to February 2, and February 5, 2018 (Spoofing; FCMs; Software Development; ICOs; Block Trades) [VIDEO] Katten
Jan
27
2013
 National Futures Association "NFA" Issues Notice Regarding CTA Reporting Requirements Katten
Feb
5
2013
 National Futures Association (NFA) to Require Commodity Pool Operators (CPOs) to Identify Registered Investment Companies Katten
Feb
11
2013
 trueEX Requests that Commodity Futures Trading Commission (CFTC) Amend Order of Designation as a Contract Market Katten
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