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
25
2012
 CFTC Issues FAQ on Energy Agreements Katten
Dec
16
2012
 CFTC Issues No-Action Relief from CPO Registration Katten
Dec
27
2017
 A review of the SEC Participating Affiliate No-Action Letters’ relief from Investment Advisers Act of 1940 registration for foreign investment advisers Katten
Dec
26
2012
 No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net Capital and Customer Protection Rules Katten
Jan
13
2013
 Second Circuit Holds Section 16(b) Inapplicable to Different Classes of Common Stock Katten
Feb
3
2013
 European Securities and Markets Authorities (ESMA) Publishes Further Update of Short Selling Regulation Questions and Answers Katten
Feb
9
2013
 Petitioners File Opening Brief Challenging Securities and Exchange Commission's "SEC" Conflict Minerals Rule Katten
Feb
23
2013
 International Regulators Publish "Near-Final" Draft of Uncleared Swap Margin Rules Katten
Mar
3
2013
 European Market Infrastructure Regulation (EMIR) Technical Standards Published in the Official Journal of the European Union Katten
Mar
12
2018
 Bridging the Weeks: February 26 to March 9 and March 12, 2018 (ICOs, Cryptocurrencies; Securities Exchanges; Moving the Money) [VIDEO] Katten
Mar
11
2013
 SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers Katten
Mar
17
2013
 CFTC Reminds Market Participants of Swap Data Reporting Requirements Katten
Apr
19
2013
 CME Block Trade Advisories Clarify Nonpublic Information Restrictions Katten
Jul
23
2018
 Bridging the Weeks by Gary DeWaal: Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction Katten
Jun
1
2013
 Securities and Exchange Commission (SEC) Division of Corporation Finance Issues 13 New and Revised Compliance and Disclosure Interpretations (C&DIs) Katten
Oct
22
2018
 Bridging the Week by Gary DeWaal: October 15 - 19 and October 22, 2018 (Bitcoin Fraud; Smart Contracts; Actual Delivery; Reg AT) Katten
Aug
16
2013
 Securities Fraud Claims Against CommScope Dismissed Katten
Jan
25
2019
 ESMA Publishes Opinion on Position Limits on ICE Low Sulphur Gasoil Futures and Options Commodity Contracts Katten
Sep
23
2013
 Securities and Exchange Commission (SEC) Issues Risk Alert on Short Selling in Connection with a Public Offering Katten
Sep
7
2023
 FINRA Settles First Significant CAT Reporting Enforcement Action Katten
Apr
1
2019
 Bridging the Weeks by Gary DeWaal: March 18 – 29 and April 1, 2019 (Programmer’s Trial; Trade Reporting Headaches; Food Giants Settle Manipulation Enforcement Action) Katten
Nov
9
2013
 Foreign Listed Stock Index - Futures and Options Approvals Katten
May
10
2019
 ESMA Publishes Final Reports on Technical Advice on Integrating Sustainability Risks and Factors in the UCITS Directive, AIFMD and MiFID II Katten
May
24
2019
 Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments Katten
Jun
14
2019
 IOSCO Consults on Regulating Crypto-Asset Trading Platforms Katten
Jun
28
2019
 CFTC Staff Issues No-Action Relief for Floor Traders Engaged in Swaps Activity Katten
Jul
14
2019
 Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities Katten
Oct
24
2023
 SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law Katten
Feb
9
2014
 SEC Extends Exemptions for Security-based Swaps - Securities and Exchange Commission Katten
Mar
3
2014
 Supreme Court Rules that the Securities Litigation Uniform Standards Act Does Not Preempt State Law Claims Katten
Mar
9
2014
 CFTC Reissues FAQ on Commodity Options - Commodity Futures Trading Commission Katten
Mar
15
2014
 Commodity Futures Trading Commission (CFTC) to Host Roundtable on Commodity Pool Operator Risk Management Practices Katten
Sep
27
2019
 New SEC Rule Expands “Test-the-Waters” to All Issuers Katten
Mar
29
2014
 Money Manager Sues Securities & Exchange Commission (SEC) to Stop Administrative Action in $1.5 Billion Collateralized Debt Obligations (CDO) Case Katten
Nov
2
2019
 SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods Katten
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