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
Nov
24
2015
 Victim of Fraud Sued for Fraud Katten
Jan
8
2016
 CFTC Amends Recordkeeping Rules Katten
Feb
21
2016
 ESMA Publishes Discussion Paper on European Benchmarks Regulation Katten
Mar
14
2016
 Bridging the Week: March 7 - 11, and 14, 2016 (Civil Rights Violation; Spoofing; Disorderly Liquidation; Risk Management; Disaggregation) Katten
Jun
20
2016
 Bridging the Week: Who’s a Customer?; Front-Running; Spoofing; Block Trades; Red Flags Katten
Aug
8
2016
 Bridging the Week: Exchange Fees; Cross Border Relief; Leaking Confidential Information; OATS; Times They Are A Changin’ [VIDEO] Katten
Aug
29
2016
 International Organisation of Securities Commissions Publishes Consultation on Good Practice for Termination of Investment Funds Katten
Sep
3
2016
 UK Financial Conduct Authority Trade Association (FCA) Roundtable on MiFID II Implementation August 3 2016 Katten
Oct
29
2016
 ESMA Publishes MAR Guidelines on Receiving Market Soundings Katten
Jun
14
2022
 Katten Financial Markets and Funds Quick Take: June 2022 Katten
Jul
19
2022
 Financial Markets and Funds Quick Take | Issue 4 Katten
Mar
10
2017
 Acting SEC Chairman Piwowar Makes Remarks at the 2017 SEC Speaks Conference, Including With Respect to “Accredited Investor” Definition Katten
Apr
7
2017
 SEC Adopts Technical Amendments to JOBS Act Rules Katten
Apr
17
2017
 Bridging the Week: April 10 to 14 and 17, 2017 (Theft of Trade Secrets; No Spoofing; Third-Party Payments; Fake News) [VIDEO] Katten
May
12
2017
 US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3 Katten
Jul
14
2017
 CFTC Announces Review of Swaps Reporting Regulations Katten
Dec
13
2022
 New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules Katten
Sep
1
2017
 SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements Katten
Sep
15
2017
 SEC Issues Statement on September 5 Implementation of “T+2” Settlement Cycle for Securities Transactions Katten
Oct
13
2017
 ESMA Updates MiFID II Q&A on Commodity Derivatives in October 2017 Katten
Nov
2
2017
 SEC Issues Important Interpretive Guidance on Implications of "Unbundling" the Costs of Investment Research from the Costs of Trade Execution, Mandated by EU Requirements Katten
Dec
9
2012
 CFTC Grants No-Action Relief for Certain Cleared Repo Transactions Katten
Dec
18
2017
 Bridging the Week: December 11 – 15 and December 18, 2017 (ICOs; Financed Spot Virtual Currencies; Investment of Customer Funds; Wash Sales) [VIDEO] Katten
Dec
18
2012
 SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives Katten
Jan
5
2013
 Commodity Futures Trading Commission "CFTC" Issues No-Action Letters Katten
Jan
26
2013
 Commodity Futures Trading Commission (CFTC) to Host Roundtable on "Futurization" of Swaps Katten
Feb
12
2018
 Bridging the Week: February 5 to 9, and February 12, 2018 (New Crypto Regulator?; Spoofing Appealed Again; Examination Priorities) [VIDEO] Katten
Feb
4
2013
 Spanish Short Sales Ban Ends, Greek Ban Continues Katten
Feb
16
2018
 SEC Proposes Budget for Fiscal Year 2019 Katten
Feb
9
2013
 SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the Jumpstart Our Business Startups "JOBS" Act Katten
Feb
17
2013
 European Securities and Markets Authority (ESMA) Issues Alternative Investment Fund Managers (AIFM) Remuneration Guidelines Katten
Feb
25
2013
 Southern District of New York (SDNY) Finds Lack of Personal Jurisdiction in Foreign Corrupt Practices Act Claim Katten
Mar
9
2013
 National Futures Association (NFA) Proposes Amendment Permitting Certain Loans by Commodity Pools to Related Entities Katten
Apr
6
2018
 ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2018 Katten
Mar
17
2013
 SEC (Securities and Exchange Commission) Approves Off-Balance Sheet Supplemental Schedule Katten
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