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
Jan
12
2019
 ESMA Releases Latest (January 9, 2019) Double Volume Cap Data Under MiFID II Katten
Feb
1
2019
 ESMA Publishes Statement on Clearing and Trading Obligations for Small Financial Counterparties Katten
Mar
1
2019
 SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers Katten
Oct
9
2013
 Securities and Exchange Commission (SEC) Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section 15(b)(4) and 15(b)(6) of the Exchange Act Katten
Mar
22
2019
 FINRA Issues Guidance on FOCUS Reporting for Operating Leases Katten
Aug
17
2023
 SEC Proposes Rules for IAs/BDs Regarding Digital Engagement Practices (Gamification) and Proposes Amendments Regarding 'Robo-Adviser' Registration Katten
Mar
29
2019
 ESMA Updates Q&As on MiFID II and MiFIR Commodity Derivatives Katten
Apr
5
2019
 SEC Issues TurnKey Jet, Inc. No-Action Letter Katten
Nov
17
2013
 Office of the Comptroller of the Currency (OCC) Publishes Standards on the Use of an Independent Consultant Katten
Nov
23
2013
 Commodity Futures Trading Commission (CFTC) Provides Relief for Intended-to-Be-Cleared Swaps Katten
May
6
2019
 Bridging the Week by Gary DeWaal: April 29 – May 3 and May 6, 2019 (Fintech Charters; Fractional Reserves OK for Stablecoins?) [VIDEO] Katten
Dec
14
2013
 Concurrent Resolution of Foreign Corrupt Practices Act (FCPA), Export Controls and Sanctions Violations Demonstrates Close Cooperation of Federal Agencies Katten
Jun
9
2019
 SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors Katten
Jan
12
2014
 SEC Division of Corporation Finance Issues Five Additional Compliance and Disclosure Interpretations (C&DI) Relating to “Bad Actor” Rule Katten
Jul
8
2019
 Bridging the Week by Gary DeWaal: July 1 – 5, and July 8, 2019 (Banning Cryptocurrency Futures; Apple Computer; Position Limits Violation) Katten
Jul
27
2019
 CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers Katten
Feb
8
2014
 US District Court for the Southern District of Florida Upholds SEC’s Partial Win in Bank Fraud Suit Katten
Aug
30
2019
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2020 Katten
Oct
11
2019
 SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment and Approval Procedure Katten
Apr
7
2014
 Sixth Circuit Affirms Dismissal of Securities Class Action for Failure to Properly Plead Scienter Katten
Apr
18
2014
 Securities and Exchange Commission (SEC) Brings Lawsuit Against Hedge Fund Manager for Defrauding Investors Katten
Apr
25
2014
 SEC (Securities and Exchange Commission) Proposes Recordkeeping and Reporting Rules for Security-based Swaps Katten
Dec
14
2023
 FINRA Acts to Update its Advertising Rule Katten
Dec
22
2023
 The SEC's Treasury Clearing Mandate Katten
Jan
17
2020
 FINRA Requests Comments on Rule 4530 Reporting Requirements Katten
May
23
2014
 National Futures Association (NFA) Adopts Fee for Registration Non-Disclosures Katten
Jun
28
2014
 NFA (National Futures Association) Proposes Interpretive Notice Prohibiting the Use of Credit Cards to Fund Retail Forex or Futures Trading Accounts Katten
Aug
1
2014
 Smith & Wesson Pays $2 Million to Resolve SEC Charges Katten
Aug
22
2014
 Texas Court of Appeals Decertifies Class of Brigham Shareholders Katten
Aug
29
2014
 Commodity Futures Trading Commission (CFTC) Staff Issues Interpretation of Secured Amount Depository Requirements Katten
Apr
10
2020
 FINRA Issues Statement on SEC Risk Alerts Regarding Reg BI and Form CRS Katten
May
1
2020
 SEC COVID-19: Broker-Dealer Financial Responsibility & Cross-Div. Market Monitoring Katten
Oct
3
2014
 Commodity Futures Trading Commission (CFTC) Settles Fraudulent Trading Violations with Forex Trader Katten
Oct
19
2014
 International Securities Exchange (ISE) Proposes to Amend Rules Regarding Information Barriers Between Customer and Proprietary Businesses Katten
May
29
2020
 LIBOR Transition Best Practices Statement Issued by ARRC Katten
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