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
Jun
5
2015
 States Challenge Blue Sky Preemption Under Regulation A+ Katten
Jun
19
2015
 California Brokers Plead Guilty to Insider Trading of Ardea Biosciences, Inc. Stock Katten
Mar
22
2021
 The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest Katten
Jul
12
2015
 CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions Katten
Jul
20
2015
 Disruptive Trading Redux; Penalties; Treasury Flash Crash; CCOs - Bridging the Week: July 13-17 and 20, 2015 [VIDEO] Katten
Jul
24
2015
 CFTC Staff Exempts Certain CTAs From Filing Form CTA-PR Katten
Aug
31
2015
 FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers Katten
Sep
25
2015
 SEC Advisory Committee on Small and Emerging Companies Makes Recommendations Katten
Oct
9
2015
 SEC Approves FINRA Equity and Debt Research Rules Katten
Oct
19
2015
 Bridging the Week: October 12 to 16 and 19, 2015 (Pre-Arranged Trades, Wash Sales, Spoofing, CCO Liability, Non-Disclosure, IBs) Katten
Nov
20
2015
 SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference Katten
Nov
30
2015
 Between Bridges: November 30, 2015 - CFTC’s Proposed New Algorithmic Trading Rules Augur Potential Increased Obligations and Costs, and a New Registration Requirement [VIDEO] Katten
Dec
7
2021
 Key Takeaways: CFTC's FY 2021 Swap Dealers Enforcement Actions Katten
Dec
11
2015
 FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck Katten
Jan
19
2016
 Bridging the Week: January 11 – 15 and 19, 2016 (Part 30; Short Sales; Attempted Manipulation; Another Exam; More Capital, Billions) Katten
Jan
22
2016
 FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions Katten
Feb
18
2016
 FINRA Files Proposed Rule Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies Katten
Mar
25
2016
 SEC Issues No-Action Relief Pursuant to Rule 14a-8(i)(9) Katten
Apr
22
2016
 SEC Releases Registration Fee Estimator Katten
May
2
2016
 Bridging the Week: Report Cards; EFRPs; Market Disruption; HFT; Algorithmic Trading; Cybersecurity [VIDEO] Katten
Jun
4
2016
 ESMA Publishes Q&A on the Implementation of MAR Katten
Jun
10
2016
 SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information Katten
Jun
24
2016
 SEC Proposes Rules Updating Mining Registrant Disclosure Requirements Katten
Jul
11
2016
 Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 Katten
Sep
9
2016
 FINRA Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities Katten
Sep
30
2016
 SEC Proposes Amendment to Expedite Settling Securities Transactions Katten
Jan
9
2017
 Bridging the Weeks: Dec 19 - Jan 6, and Jan 9, 2017 (Jon Corzine; Infiltrating E-Mails; ATS Gone Bad; Whistleblower Infractions) Katten
Mar
13
2017
 ESMA Issues Opinion on UCITS Share Classes Katten
Jul
21
2022
 Second Circuit Rejects Supreme Court? Katten
Jul
27
2022
 Block Trades, EFRPs and Assorted Other Trade Practice Issues: A Practical Guide of Current Status Katten
May
8
2017
 Bridging the Week: May 1 to 5 and May 8, 2017 (Views on Reg AT; CCO Obligations and Annual Reports; Jay Clayton; KISS and Tell) Katten
Jun
5
2017
 Bridging the Week: May 22 to June 2 and June 5, 2017 (Spoofing Again; Principles-Based Rules Rule; Insider Trading; Source Code Theft; Whistle-Blowing While You Work) Katten
Aug
18
2017
 ESMA Updates MiFID II and MiFIR Transaction Reporting Guidelines Katten
Oct
28
2017
 SEC Approves PCAOB Rule to Require Enhanced Audit Reports Katten
Nov
13
2012
 A New Wave of Say-on-Pay and Executive Compensation Proxy Litigation Katten
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