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
7
2023
 SEC Modernizes the “Names Rule” for Funds Cadwalader, Wickersham & Taft LLP
Aug
28
2020
 SEC Modernizes “Accredited Investor” Definition McDermott Will & Emery
Apr
29
2016
 SEC Modifies and Extends Pilot Program for National Market System Plan to Address Extraordinary Market Volatility Katten
Aug
4
2014
 SEC Modifies MCDC Terms: Extends Issuer Deadline to 12/01/2014, Lowers Penalty Cap for Small Underwriters; Recognizes Pre-EMMA Limitations Bracewell LLP
Mar
6
2019
 SEC Modifies the Submission Deadlines for Filing Form N-PORT Citing Cybersecurity Concerns Faegre Drinker
Jun
9
2013
 SEC Money Market Reform Katten
Sep
10
2014
 SEC Money Market Reform: An Analysis of Fund Director Responsibilities Faegre Drinker
Mar
26
2021
 SEC Movement on ESG Disclosures: SEC and Investors Enhance Focus on Climate Change and Other ESG Disclosures Foley & Lardner LLP
Dec
9
2015
 SEC Nabs Immigration Lawyers Acting as Unregistered Brokers, Orders Fines and Disgorgement Mintz
Dec
17
2021
 SEC Names Chief Administrative Law Judge Cadwalader, Wickersham & Taft LLP
Sep
20
2017
 SEC Names Dalia Blass as Director of the Division of Investment Management Vedder Price
Sep
18
2023
 SEC Narrows Exemption from FINRA Membership for Broker-Dealers Katten
May
6
2022
 SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit Dinsmore & Shohl LLP
Mar
26
2021
 SEC News from Katten's Corporate & Financial Weekly Digest - Week of March 26 Katten
Mar
19
2015
 SEC No-Action Letter Permits Non-ERISA Retirement Plans to Issue Participant Fee Disclosures Without Violating Securities Laws McDermott Will & Emery
May
19
2023
 SEC No-Action Letters on Proxy Materials and Other Developments Reinforce Commission-Wide Commitment to ESG Katten
Sep
10
2011
 SEC Not to Seek Rehearing of Proxy Access Decision Michael Best & Friedrich LLP
Nov
9
2022
 SEC Notches Win in Cryptocurrency Registration Battle Bracewell LLP
Mar
14
2023
 SEC Notice to Public Companies: Less-than-forthcoming Breach Disclosures Can Cost You Mintz
Aug
15
2017
 SEC Observations from Recent Cybersecurity Examinations Identify Best Practices Morgan, Lewis & Bockius LLP
Nov
10
2021
 SEC Observes Compliance Deficiencies in Digital Investment Advisory Services Cadwalader, Wickersham & Taft LLP
Feb
6
2015
 SEC Obtains $585 Million Judgment Against MRI International for Ponzi Scheme Katten
Sep
26
2014
 SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme Katten
Jul
29
2014
 SEC Obtains Cease and Desist Order, Fine Regarding Foreign Corrupt Practices Act Violations by Gun Maker Jackson Lewis P.C.
Mar
20
2023
 SEC Obtains Court Judgment Against Unregistered Municipal Advisors Norris McLaughlin P.A.
May
25
2023
 SEC Off-Channel Communications Sweep Sheppard, Mullin, Richter & Hampton LLP
May
17
2012
 SEC Offers Additional JOBS Act Guidance Hunton Andrews Kurth
May
15
2020
 SEC Offers Limited Rule Relief to Spur Small Business Crowdfunding During Pandemic Sheppard, Mullin, Richter & Hampton LLP
Sep
8
2021
 SEC Office of the Investor Advocate Issues Annual Report on Objectives for 2022 Fiscal Year Vedder Price
May
30
2019
 SEC Office of the Whistleblower Zuckerman Law
Nov
5
2021
 SEC Officials Highlight Regulatory Priorities for Asset Management Cadwalader, Wickersham & Taft LLP
Nov
24
2015
 SEC Once Again Sanctions The CCO of An Investment Advisory Firm Proskauer Rose LLP
Jun
19
2015
 SEC Opens New Funding Options with Regulation A+ Faegre Drinker
Jun
2
2013
 SEC Order Against Institutional Shareholder Services Inc. (ISS) Katten
Apr
3
2015
 SEC Order May Prompt Employers to Review Employee Confidentiality Obligations Covington & Burling LLP
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