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
Feb
18
2011
 New SEC Proposal To Modify Short Form Registration Statement Eligibility Requirements and Repeal Credit Rating-Based Eligibility For Public Offerings Of Non-Convertible Debt Securities Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2023
 OCR Cybersecurity Newsletter Emphasizes Significance of HIPAA Sanction Policies Mintz
Mar
31
2011
 Pharmaceutical and Other Companies Beware: New Supreme Court Decision Weighs in on Adverse Event Reports and Potential Liability Under Federal Securities Laws Squire Patton Boggs (US) LLP
May
24
2012
 Recent SEC Enforcement Action Raises Questions About Implications of Foreign Law in Responding to Subpoena Vedder Price
Apr
22
2020
 Recent SEC Whistleblower Awards Highlight Pervasive Retaliation Zuckerman Law
Aug
9
2017
 Relief from 408(b)(2) Requirement on Change Notice: Interesting Angles on the DOL’s Fiduciary Rule #57 Faegre Drinker
May
14
2020
 Report Financial Statement Fraud and Earn an SEC Whistleblower Award Zuckerman Law
Oct
11
2023
 SEC Adopts Amendments to Beneficial Ownership Reporting K&L Gates
Oct
6
2020
 SEC Adopts Amendments to Modernize Shareholder Proposal Rule Womble Bond Dickinson (US) LLP
Nov
6
2017
 SEC Approves New PCAOB Standard for Auditor's Report Jones Walker LLP
Nov
14
2017
 SEC Chairman Jay Clayton’s Remarks on ICOs Proskauer Rose LLP
May
14
2021
 SEC Emerges as Main Regulator of Cryptocurrency Barnes & Thornburg LLP
May
22
2016
 SEC Enforcement’s Increased Focus on Private Equity Proskauer Rose LLP
Dec
31
2010
 SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010 Sheppard, Mullin, Richter & Hampton LLP
Sep
23
2012
 SEC Proposes Amendments to Allow General Solicitation in Certain Private Offerings Pursuant to JOBS Act Hunton Andrews Kurth
May
24
2015
 SEC Proposes Amendments to Form ADV and Performance Information Recordkeeping Requirements Proskauer Rose LLP
Jan
23
2015
 SEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act Greenberg Traurig, LLP
Mar
28
2015
 SEC Regulation A+: More Access to Capital for Small Companies With Less Regulation? Dinsmore & Shohl LLP
Sep
28
2011
 SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings Sheppard, Mullin, Richter & Hampton LLP
Feb
24
2017
 SEC Whistleblower Program: What is the SEC Form TCR? Zuckerman Law
Jan
30
2014
 Section 162(m): Actions that Should be Taken by March 31, 2014, and/or in this Year's Proxy to Avoid the $1,000,000 Deduction Limitation Greenberg Traurig, LLP
Jul
23
2013
 Securities and Exchange Commission (SEC) Adopts Rules Permitting General Solicitation in Private Offerings Limited to Purchases by Accredited Investors Mintz
Oct
14
2020
 Securities and Exchange Commission Rescinds Guide 3 Dinsmore & Shohl LLP
Jun
30
2014
 Six Things SEC Chair White Wants Directors to Know About How to Avoid Being on the Receiving End of an Enforcement Action Barnes & Thornburg LLP
Mar
25
2011
 SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 Sheppard, Mullin, Richter & Hampton LLP
Jul
9
2018
 Supreme Court Decides Lucia – But the Saga Continues Barnes & Thornburg LLP
Nov
28
2013
 Target Date Retirement Funds–Tips for Employee Retirement Income Security Act (ERISA) Plan Fiduciaries Faegre Drinker
Jun
3
2012
 The Commodity Futures Trading Commission "CFTC" Rescinds Popular CPO Exemption ArentFox Schiff LLP
Jul
15
2014
 The Consumer Financial Protection Bureau (CFPB), Recent Developments: June 16, 2014 - June 20, 2014 Greenberg Traurig, LLP
Apr
10
2012
 The Jobs Act: Improving Access to Capital Markets for Emerging Growth Companies Greenberg Traurig, LLP
Sep
16
2016
 The SEC Remains Active with Whistleblowers Hunton Andrews Kurth
Aug
3
2020
 The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities Greenberg Traurig, LLP
Jul
26
2022
 Time to Evaluate Your Filer Status for Next Year Mintz
Jan
16
2014
 U.S. District Court in Atlanta Rules against the SEC in an Insider Trading Case, Describing the SEC's Evidence as 'Overreaching' and 'Self-Serving' Greenberg Traurig, LLP
Mar
11
2016
 U.S. Futures Exchanges Disciplinary Actions Report: February 2016 Bracewell LLP
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