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.

Date	Title	Organization
3 Apr	Whistleblower Award? See the SEC Notices of Covered Actions for March 2020	Kohn, Kohn & Colapinto
3 Apr	The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline	Winstead
3 Apr	ESMA Publishes Consultation Paper on Draft ITS under Regulation on Cross-Border Distribution of Funds	Katten
3 Apr	Coronavirus and Guidance on SEC Disclosures	Sheppard, Mullin, Richter & Hampton LLP
3 Apr	ESMA Publishes a Review Report on Position Limits and Management under MiFID II	Katten
3 Apr	The CFTC and NFA Offer Further No-Action Relief to Market Participants in Response to the Unprecedented Conditions Posed by COVID-19	Mintz
3 Apr	The COVID-19 Pandemic and Your Company's Corporate Disclosures: Key Takeaways from the SEC's Recently Issued Guidance	Ryley Carlock & Applewhite, A Professional Corporation
2 Apr	SEC Proposes Exemption from General Solicitation for “Demo Days”	Mintz
2 Apr	COVID-19 Impact on Public Disclosure on SEC Reporting Companies	Katten
2 Apr	SEC Provides Informal Guidance on COVID-19 Relief Regarding Incorporation by Reference of Information from Proxy Materials into Form 10-K	Schiff Hardin LLP
2 Apr	SEC Guidance on COVID-19 Disclosures for Healthcare Providers	Sheppard, Mullin, Richter & Hampton LLP
1 Apr	Securities-Based Loans During the COVID-19 Market Correction	Greenberg Traurig, LLP
1 Apr	SEC v. Telegram:A Groundbreaking Decision in Cryptocurrency Enforcement?	Greenberg Traurig, LLP
1 Apr	Analysis of Settlement Characteristics: An Excerpt from Cornerstone Research Report: Securities Class Action Settlements--2019 Review and Analysis.	Cornerstone Research
1 Apr	SEC, OCIE and Enforcement Are Still Watching	Faegre Drinker
1 Apr	Internal Investigations and Privileges: Two More Courts Rule	Foley & Lardner LLP
1 Apr	Dangerous Waters: The Pitfalls of Margin Calls	Greenberg Traurig, LLP
31 Mar	Force Majeure and Material Adverse Change in Reserve Based Lending (RBL): When Two Black Swans Collide	Bracewell LLP
31 Mar	SEC Updates Investment Company Act Exemptive Order in Response to COVID-19	Vedder Price
31 Mar	SEC Pays Whistleblower Reward to Internal Compliance Whistleblower	Kohn, Kohn & Colapinto
31 Mar	Between Bridges by Gary DeWaal: March 30, 2020 (Unregistered Digital Securities Offering; Risk Management Breakdown; COVID-19)	Katten
31 Mar	SEC Continues to Pay Whistleblower Rewards Despite Coronavirus Closures	Kohn, Kohn & Colapinto
30 Mar	SEC Extends Reporting Exemptions and Issues COVID-19 Disclosure Guidance	Jones Walker LLP
30 Mar	Delaware Supreme Court Upholds Federal Forum Selection Provisions Requiring Securities Claims Be Brought in Federal Court	Faegre Drinker
30 Mar	COVID-19 Update: Coronavirus-Related REMIC Considerations	Cadwalader, Wickersham & Taft LLP
30 Mar	SEC Extends Temporary Relief for Public Companies and Registered Investment Advisers Affected by the Coronavirus (COVID-19)	Robinson & Cole LLP
30 Mar	Delaware Supreme Court Rejects Challenge to Federal Forum Provisions Requiring Securities Act Claims to Be Brought in Federal Court	Cadwalader, Wickersham & Taft LLP
29 Mar	UK Announces New Insolvency Laws: What Are They and How Do They Help Support Businesses?	Squire Patton Boggs (US) LLP
29 Mar	6 Ways Whistleblowers Can Protect Themselves	Katz, Marshall & Banks, LLP
29 Mar	Total Settlement Dollars & Settlement Size in 2019 Class Action: An Excerpt from Securities Class Action Settlements—2019 Review and Analysis	Cornerstone Research
27 Mar	Summary of Federal Reserve Credit Facilities Announced March 17-23, 2020	Jones Walker LLP
27 Mar	COVID-19 Update—SEC Staff Expands Exchange Act, Form ADV and Form PF Filing Relief	Vedder Price
27 Mar	SEC’s Division of Corporation Finance Provides Coronavirus (COVID-19) Disclosure Guidance	Womble Bond Dickinson (US) LLP
27 Mar	SEC Announces Whistleblower Award of Over Half a Million Dollars	Kohn, Kohn & Colapinto
27 Mar	SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19	Katten
27 Mar	SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19	Katten
27 Mar	SEC Grants Temporary Exemption From Certain Requirements of Rule 606 of Regulation NMS	Katten
27 Mar	SEC Approves CBOE Proposed Rule Change Regarding Off-Floor Position Transfers	Katten
27 Mar	SEC Issues Temporary Borrowing Relief for Mutual Funds and Insurance Company Separate Accounts	Vedder Price
27 Mar	Regulatory Relief Issued for CPOs and CTAs	Katten
27 Mar	CFTC Issues Final Interpretive Guidance on Actual Delivery for Digital Assets	Katten
27 Mar	FTC’s 2020 Adjustments to HSR Filing Thresholds	Steptoe & Johnson PLLC
27 Mar	ESMA Publishes Statement on MiFID II Telephone Conversation Requirements During the COVID-19 Pandemic	Katten
27 Mar	Court Sides with SEC in Ruling to Prevent Telegram from Distributing Grams	Proskauer Rose LLP
27 Mar	9th Circuit Holds Insurer May Defend Suspended Corporation	Allen Matkins Leck Gamble Mallory & Natsis LLP
27 Mar	Form SD Conflict Minerals Report Filing Deadline Unchanged	Squire Patton Boggs (US) LLP
26 Mar	SEC Staff Issues Statement on Regulation S-T Manual Signature Requirements	Vedder Price
26 Mar	CFTC Issues Alert on Coronavirus Fraud	Kohn, Kohn & Colapinto
26 Mar	Market Integrity Amid COVID-19 Pandemic	Squire Patton Boggs (US) LLP
26 Mar	SEC Extends Conditional Regulatory Relief and Issues Disclosure Guidance Regarding COVID-19	Schiff Hardin LLP