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
Apr
8
2019
 Sec Issues First Cryptocurrency No-Action Letter – Where’s the Action? Mitchell Silberberg & Knupp LLP
Apr
30
2019
 SEC Issues First No Action Letter on Crypto Tokens Sheppard, Mullin, Richter & Hampton LLP
Jan
8
2021
 SEC Issues Five Whistleblower Awards Totaling Over $1.1 Million Kohn, Kohn & Colapinto
Jan
11
2022
 SEC Issues Four Whistleblower Awards Kohn, Kohn & Colapinto
Feb
9
2013
 SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the Jumpstart Our Business Startups "JOBS" Act Katten
Oct
5
2013
 SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel Katten
Mar
3
2014
 SEC Issues Guidance on Aggregate Advisory Fee Rates for Multi-Manager Funds - Securities and Exchange Commission Katten
Jul
18
2016
 SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies Faegre Drinker
Jan
17
2020
 SEC Issues Guidance on Confidential Treatment Applications and Intellectual Property and Technology Risks Katten
May
24
2016
 SEC Issues Guidance on Crowdfunding Rules Hunton Andrews Kurth
Aug
1
2017
 SEC Issues Guidance on Initial Coin Offerings and Cryptocurrencies Barnes & Thornburg LLP
Sep
24
2012
 SEC Issues Guidance on JOBS Act Research Provisions Hunton Andrews Kurth
Jan
19
2016
 SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries Katten
Jul
11
2015
 SEC Issues Guidance on Personal Securities Transactions Reporting Proskauer Rose LLP
Jul
25
2014
 SEC Issues Guidance on Proxy Voting Katten
Oct
30
2015
 SEC Issues Guidance on Rule 14a-8(i)(9) and Rule 14a-8(i)(7) Katten
Apr
18
2013
 SEC Issues Guidance on Social Media and Regulation Fair Disclosure (FD) Morgan, Lewis & Bockius LLP
Dec
13
2019
 SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants Katten
Oct
30
2011
 SEC Issues Guidance on the Disclosure of Cybersecurity Incidents and Costs Morgan, Lewis & Bockius LLP
Jul
16
2013
 SEC Issues Guidance Regarding Compliance with Exemptive Orders Godfrey & Kahn S.C.
Jan
13
2016
 SEC Issues Guidance Regarding Mutual Fund “Distribution-in-Guise” Payments ArentFox Schiff LLP
Aug
29
2023
 SEC Issues Historic Awards to Whistleblowers Katz Banks Kumin LLP
Nov
2
2017
 SEC Issues Important Interpretive Guidance on Implications of "Unbundling" the Costs of Investment Research from the Costs of Trade Execution, Mandated by EU Requirements Katten
Mar
10
2017
 SEC Issues Inline XBRL Proposed Rule and Publishes International Financial Reporting Standards (IFRS) Taxonomy Katten
Aug
6
2015
 SEC Issues Interpretation of its Regulations on Definition of Dodd-Frank Whistleblower Epstein Becker & Green, P.C.
Oct
24
2010
 SEC Issues Interpretive Guidance Regarding Liquidity and Capital Resources Disclosures Hunton Andrews Kurth
May
23
2018
 SEC Issues Interpretive Guidance Regarding the Standard of Conduct for Investment Advisers Vedder Price
Jan
17
2017
 SEC Issues Interpretive Letter Permitting “Externalization” of Mutual Fund Sales Charges ArentFox Schiff LLP
Aug
6
2015
 SEC Issues Interpretive Rule Regarding Definition of Dodd-Frank “Whistleblower” Proskauer Rose LLP
Nov
3
2016
 SEC Issues Investment Company Reporting Modernization Rules K&L Gates
Dec
1
2020
 SEC Issues Joint Whistleblower Award of $6 Million to Individuals Key in Assisting Successful Enforcement Action Kohn, Kohn & Colapinto
Jul
2
2015
 SEC Issues Landmark Order Barring Gag Clauses Zuckerman Law
Mar
21
2018
 SEC Issues Largest Dodd-Frank Whistleblower “Bounty” Awards Ever Epstein Becker & Green, P.C.
Jun
4
2023
 SEC Issues Largest Whistleblower Bounty Award Ever To One Individual Proskauer Rose LLP
Oct
18
2019
 SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion Katten
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