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
Mar
28
2024
Bitcoin-Halving Steht vor der Tür McDermott Will & Emery
Mar
28
2024
Recent Gensler Speech Highlights SEC’s Two-Fold AI Disclosure Concerns Hunton Andrews Kurth
Mar
28
2024
Update to The Naming Convention for Exchange Traded Products K&L Gates
Mar
28
2024
March 2024 ESG Policy Update—Australia K&L Gates
Mar
27
2024
SEC’s Increased Focus on “AI Washing”: Charges Announced Against Two Investment Advisers for Violations of the Marketing Rule K&L Gates
Mar
27
2024
SEC Climate Rules: What Now? Hunton Andrews Kurth
Mar
26
2024
Lesson Learned: Man Charged with Insider Trading After Misappropriating Information from Wife’s Work-From-Home Calls Sheppard, Mullin, Richter & Hampton LLP
Mar
26
2024
OFAC Settlement Illustrates Sanctions Compliance Risks For Foreign Asset Managers Trading US Securities Hunton Andrews Kurth
Mar
26
2024
Examining the SEC’s Slew of Recent Rules and Amendments Proskauer Rose LLP
Mar
26
2024
SEC Enforcement Action: Investors Should Pay Close Attention to Changes in Investment Intent Hunton Andrews Kurth
Mar
26
2024
Whistleblower Awards for Auditors are Key to Meeting OECD Guidelines Kohn, Kohn & Colapinto
Mar
25
2024
Three Cases Highlight the Importance of Judicial Branch Procedural Rules in Resolving Policy Disputes ArentFox Schiff LLP
Mar
25
2024
The Price Is “Wrong”: SEC Sanctions Pharma Company for Faulty Rebates Norris McLaughlin P.A.
Mar
25
2024
Recent Updates to State and Federal Climate Disclosure Laws Sheppard, Mullin, Richter & Hampton LLP
Mar
22
2024
Key Takeaways From the SEC’s New Climate-Related Disclosure Rules Barnes & Thornburg LLP
Mar
21
2024
Blockchain+ Bi-Weekly March 14, 2024 Polsinelli PC
Mar
21
2024
Eighth Circuit Will Decide SEC Climate Disclosure Rule Mintz
Mar
21
2024
SEC Adopts Long-Awaited Final Climate Disclosure Rules Hunton Andrews Kurth
Mar
21
2024
How To Protect Against Harmful SLGS This Spring Squire Patton Boggs (US) LLP
Mar
21
2024
SEC Settles Charges Against Investment Advisers for Misleading AI Claims Stark & Stark
Mar
21
2024
Australia: ASIC Issues New Legislative Instrument for Exchange Traded Funds K&L Gates
Mar
20
2024
The SEC’s Final Rules on Climate-Related Disclosures: A Guide for In-House Counsel Bracewell LLP
Mar
20
2024
NAPFM, AIMA, and MFA File Complaint Against SEC’s New Dealer Rule K&L Gates
Mar
19
2024
FINRA Facts and Trends: March 2024 Bracewell LLP
Mar
19
2024
SEC Cracks Down on Over-Hyped AI Claims – Director Says This is Just the Beginning Sheppard, Mullin, Richter & Hampton LLP
Mar
19
2024
Top Ten Regulatory and Litigation Risks for Private Funds in 2024 Proskauer Rose LLP
Mar
18
2024
Cadwalader Climate (March 11, 2024) Cadwalader, Wickersham & Taft LLP
Mar
16
2024
That Didn't Take Long . . . Fifth Circuit Temporarily Blocks New SEC Climate Disclosure Rule Mintz
Mar
15
2024
SEC Adopts Climate-Related Risk Disclosure Rules: What Public Companies, Executives and Investors Need to Know McDermott Will & Emery
Mar
15
2024
ELTIF 2.0 – European Commission Proposes Amendments to the ESMA Draft RTS Proskauer Rose LLP
Mar
14
2024
SEC Approves Sweeping New Climate Disclosure Rule: Key Takeaways Mintz
Mar
14
2024
Deputy Attorney General Monaco Warns Industries: “Fraud Using AI is Still Fraud” ArentFox Schiff LLP
Mar
14
2024
FinCEN AML Alert: SEC Investment Advisers Again in Focus Katten
Mar
14
2024
The 'Effective Spread' of Order Execution Quality Reporting Katten
Mar
13
2024
SEC Adopts Comprehensive Package of Climate-Related Disclosure Rules; Scope 3 Emission Metrics Excluded Greenberg Traurig, LLP
Mar
13
2024
SEC v Panuwat: The SEC’s Novel “Shadow Trading” Insider Trading Case Goes to Trial Foley & Lardner LLP
Mar
13
2024
SEC Approves Climate-Related Disclosure Requirements ArentFox Schiff LLP
Mar
12
2024
Threading the Needle: The US Securities and Exchange Commission's Final Climate-Related Disclosure Rules K&L Gates
Mar
12
2024
SEC’s Slimmed Down Climate-Related Disclosures Finally Adopted Foley & Lardner LLP
Mar
11
2024
The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A Security Katten
Mar
11
2024
Changing Climate for Corporate Disclosures: SEC Mandates Climate Disclosures for Public Companies Beveridge & Diamond PC
Mar
11
2024
SEC Issues Climate Disclosure Rules Van Ness Feldman LLP
Mar
11
2024
Laying Down the Law: SEC Sanctions UK Broker/Dealer and Four U.S. Representatives Norris McLaughlin P.A.
Mar
11
2024
Department of Justice Announces New Whistleblower Rewards Program Cadwalader, Wickersham & Taft LLP
Mar
8
2024
New SEC Climate-Related Disclosure Rule Blank Rome LLP
Mar
8
2024
DOJ Announces Corporate Whistleblower Award Program Katz Banks Kumin LLP
Mar
8
2024
SEC Finalizes Much-Anticipated Climate Disclosure Rules Katten
Mar
8
2024
SEC Settlement Highlights Risks for 13G Filers When Moving from Passive to Active Status Proskauer Rose LLP
Mar
8
2024
Part 3: Separate Accounts and CFTC Regulation §1.44—Different Views of the Same Situation Blank Rome LLP
Mar
7
2024
DOJ’s New Whistleblower Reward Program Will Supercharge White Collar Enforcement Zuckerman Law
 

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