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
19
2020
 SEC, NYSE Updates: Reg BI and Form CRS; Partial Floor Re-Opening Katten
Nov
21
2014
 Investor Claims NetTALK Executives Took Control of Board Katten
Dec
5
2014
 Expedited Proceedings Denied iin Delaware Where Harm Is Only Speculative Katten
Dec
15
2014
 Insider Trading, Sentinel, Punitive Capital Hit Stay, Investment Funds Portfolio Composition Risk, Auditor Independence (or Not): Bridging the Week: December 8 to 12 and 15, 2014 Katten
Dec
19
2014
 CFTC Extends Relief to Four Foreign Clearing Organizations Katten
Feb
16
2015
 OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks Katten
Mar
22
2015
 CFE Amends Rules on ECRPs and Block Trades Katten
Dec
5
2020
 Division of Corporation Finance Issues Disclosure Consideration for China-Based Issuers Katten
Apr
17
2015
 Proposed Amendments to DGCL (Delaware General Corporation Law), Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions Katten
Dec
11
2020
 CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals Katten
Jan
29
2021
 European Commission Adopts Equivalence Decision With Respect to SEC Regulatory Framework for Central Counterparties Katten
May
29
2015
 Former Olympic Games Sponsor Settles With SEC for $25 Million Over FCPA Violations Katten
Feb
26
2021
 Acting SEC Chair Issues Statement on Climate-Change Disclosures Katten
Jun
5
2015
 SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers Katten
Mar
12
2021
 SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption Katten
Apr
16
2021
 SEC Statements Regarding SPACs Address Warrants and Projections Katten
Jul
12
2015
 FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule Katten
Apr
30
2021
 Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement Katten
Jul
24
2015
 Federal Reserve Issues Final Rule Requiring GSIBs to Bolster Capital Katten
Sep
25
2015
 SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs Katten
Oct
9
2015
 House Passes Disclosure Modification and “4(a)(1)(1/2)” Bills Katten
Dec
18
2015
 CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs Katten
Dec
27
2021
 Financial Services Industry Year in Review: Regulatory Enforcement and Litigation Trends in 2021 and Beyond Katten
Jan
11
2016
 Bridging the Week: January 4 – 8 and 11, 2016 (Spoofing; Sentinel Management; Steven A. Cohen; AML; Block Trades) Katten
Jan
22
2016
 Commodity Futures Trading Commission Launches Whistleblower Program’s Website Katten
Apr
14
2016
 The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies Katten
May
29
2016
 European Commission Adopts MiFID II Delegated Regulations Katten
Jun
10
2016
 SEC Adopts Trade Acknowledgement and Verification Rules for Security-Based Swaps Katten
Jun
26
2016
 EU Market Abuse Regulation Delegated Regulation on Abusive Practices and Suspicious Orders and Transactions Published Katten
Jul
25
2016
 Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] Katten
Oct
9
2016
 ESMA Publishes Final Guidance on Inside Information for Commodity Derivatives Under MAR Katten
Dec
16
2016
 SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings Katten
Jan
21
2017
 ESMA Publishes Briefing on MiFID II Technical Data Reporting Requirements Katten
Mar
13
2017
 Layering, Cross-Market Manipulation, Retaliatory Firing and Non-Cooperation - Bridging the Week: March 6 - 10, March 13, 2017 [VIDEO] Katten
Jun
12
2017
 Bridging the Week: June 5-9, June 12, 2017 (SEC Disgorgement Actions Are Not Forever; Keep Suspicions in SARs; Audit Trail Requirements) [VIDEO] Katten
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