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
Aug
17
2013
 SEC Order Temporarily Exempting Certain Broker Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13H-1 Katten
Oct
5
2016
 SEC Orders Company to Pay $500K For Whistleblower Retaliation Zuckerman Law
Jun
27
2014
 SEC Orders Securities Exchanges and Financial Industry Regulatory Authority (FINRA) to Develop Tick Size Pilot Plan Katten
Feb
22
2023
 SEC Overhaul of Custody Rule: Implications for Qualified Custodians Greenberg Traurig, LLP
Apr
18
2023
 SEC Overreach: Insurers Underwrite? Proskauer Rose LLP
Aug
25
2016
 SEC Overrules Its Own Administrative Law Judge to Clear Customer of Fraud Charges Proskauer Rose LLP
Mar
23
2013
 SEC Oversight of Financial Industry Regulatory Authority (FINRA) Exempt from FOIA Request Katten
Dec
15
2016
 SEC Overturns Administrative Law Judge’s Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement Vedder Price
Oct
2
2019
 SEC Passes Long-Awaited New Rule 6c-11 to Modernize Regulation of ETFs Greenberg Traurig, LLP
Jul
12
2023
 SEC Passes New Money Market Fund Rules: Swing Pricing Is Out and Mandatory Liquidity Fees Are In K&L Gates
Oct
15
2020
 SEC Passes New Rule 12d1-4 Regarding Fund of Funds Greenberg Traurig, LLP
Dec
15
2020
 SEC Passes New Rule 2a-5 Regarding Fair Valuation Greenberg Traurig, LLP
Jun
6
2019
 SEC Passes Preemption Question To The Courts Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
14
2017
 SEC Pay-to-Play Rule Set to Expand to Capital Acquisition Brokers Covington & Burling LLP
Jul
19
2015
 SEC Pays $3M Award to Whistleblower Zuckerman Law
Apr
21
2020
 SEC Pays $5 Million Award to Whistleblower Fired after Reporting Fraud Internally Kohn, Kohn & Colapinto
Jul
23
2015
 SEC Pays More Than $3 Million Whistleblower Award Proskauer Rose LLP
Feb
15
2023
 SEC Pays Whistleblower $3 Million Under Related Action Rule Kohn, Kohn & Colapinto
Nov
9
2015
 SEC Pays Whistleblower Bounty Award Exceeding $325,000 Proskauer Rose LLP
Mar
31
2020
 SEC Pays Whistleblower Reward to Internal Compliance Whistleblower Kohn, Kohn & Colapinto
Feb
21
2019
 SEC Penalizes Celebrities For Violating The Securities Act IMS Legal Strategies
Aug
14
2016
 SEC Penalizes Company For Severance Language Purportedly Impeding Complaints Proskauer Rose LLP
Jan
11
2019
 SEC Penalizes Issuer for Presenting Non-GAAP Financial Measures Without Giving Equal Prominence to GAAP Measures Bracewell LLP
Nov
3
2015
 SEC Permits Companies to Sell Securities Through Crowdfunding Greenberg Traurig, LLP
Dec
29
2012
 SEC Permits Portfolio Margining of Credit Default Swaps Morgan, Lewis & Bockius LLP
Dec
19
2016
 SEC Placing Renewed Emphasis on Whistleblower Protections Vedder Price
Mar
17
2022
 SEC Poised to Take Action on Climate Disclosure Requirements Beveridge & Diamond PC
Dec
4
2015
 SEC Policy Change: Voluntary Disclosure Now Required for DPA/NPA Resolutions in FCPA Cases Morgan, Lewis & Bockius LLP
Apr
20
2021
 SEC Position Allows Insurance Companies to Rely on Prior Mutual Fund Substitution Orders Vedder Price
Aug
16
2023
 SEC Possibly Conducting Industry Sweep of ESG Investment Funds Mintz
Dec
3
2012
 SEC Posts Small Entity Compliance Guide Regarding Conflict Minerals Disclosure Katten
Jul
25
2021
 SEC Prevails in Case Challenging its Anti-Gag Rule, a Pillar of the SEC Whistleblower Reward Program Zuckerman Law
Jun
27
2016
 SEC Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Dec
28
2012
 SEC Probe of Netflix Highlights Legal Risks of Social Media Armstrong Teasdale
Feb
8
2023
 SEC Probes into Advisers' Compliance with the Custody Rule for Digital Assets Winstead
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins