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
20
2020
 SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings Katten
Apr
3
2015
 SEC Brings First Action Against Company for Potentially Stifling Whisteleblowers Katten
Apr
24
2015
 SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award Katten
May
30
2015
 European Securities and Markets Authority Calls for EMIR Modifications to UCITS Directive Katten
Mar
8
2021
 ESG Is in the (SEC) House: SEC Exams, Enforcement and Regulations are Coming Katten
Jun
26
2015
 SEC Division of Corporation Finance Issues New Compliance and Disclosures Relating to New “Regulation A+” Katten
Apr
9
2021
 Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers Katten
Aug
7
2015
 SEC Finalizes Rule on Pay Ratio Disclosure Katten
Aug
14
2015
 EU Securities Financing Transactions Regulation––Shining a Light on Shadow Banking Katten
Aug
28
2015
 SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 Katten
Oct
2
2015
 CFTC Extends Relief for Eurex Clearing and US Clearing Members Katten
Dec
18
2015
 SEC Division of Corporation Finance Issues New CDIs on Fixing America’s Surface Transportation Act Katten
Jan
8
2016
 NFA Revises SD and MSP 4s Review Process Katten
Feb
13
2016
 UK FCA Publishes Policy Statement on the Implementation of UCITS V Katten
Feb
19
2016
 CFTC Designates NFA as SDR Data Recipient Katten
Mar
20
2016
 European Commission Adopts Equivalence Decision in Regards to US CFTC-Registered CCPs Katten
Apr
15
2016
 SEC Publishes Concept Release Regarding Business and Financial Disclosure Katten
Jun
13
2016
 Bridging the Week: AT Roundtable; AT System Malfunction; AT System Developer Registration; Cybersecurity - June 6 to 10 and 13, 2016 Katten
Jun
19
2016
 European Commission Updates List of Recognized Third-Country CCPs Katten
Aug
19
2016
 Financial Industry Regulatory Authority Files Proposed Amendment to FINRA Rule 2232 Katten
Aug
26
2016
 SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K Katten
Sep
2
2016
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 Katten
Oct
21
2016
 SEC Approves FINRA’s Capital Acquisition Broker Rules Katten
Oct
28
2016
 SEC Approves Amendments to Rules Governing Communications With the Public Katten
Dec
19
2016
 Commodity Futures Trading Commission Finalizes Aggregation Rules, Re-Proposes Position Limits Rule Katten
Apr
14
2017
 SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule Katten
May
26
2017
 ESMA Publishes Opinion on the Meaning of Traded on a Trading Venue Katten
Sep
15
2017
 SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation Katten
Sep
23
2017
 FINRA Delays Rule 4210 Margining of Covered Agency Transactions to June 2018 Katten
Sep
29
2017
 SEC Chairman Testifies Before Senate Banking Committee Katten
Oct
8
2017
 SEC Approves FINRA Rule Change to Subject Capital Acquisition Brokers to Pay-to-Play Rules Katten
Oct
13
2017
 SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure Katten
Oct
23
2017
 Bridging the Week: October 16 – 20 and October 23, 2017 (Cryptocurrencies Primer; Pre-Open; EFRPs; Spoofing Again) Katten
Nov
1
2017
 Bridging the Week: October 23 – 27 and October 30, 2017 (Trade Reporting; Front-Running; More Regulatory Improvements; DLT Space Among Enforcement Priorities) Katten
Nov
10
2017
 SEC Staff Publishes New Guidance on Shareholder Proposals Katten
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