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
28 Sep	The 100 Whistleblowers Who Changed Wall Street	Kohn, Kohn & Colapinto
28 Sep	SEC Adopts Amendments to Modernize Shareholder Proposal Rule	Godfrey & Kahn S.C.
28 Sep	SEC Staff Provides Guidance on Non-Custodial Digital Asset Settlement	Hunton Andrews Kurth
25 Sep	Two International Whistleblowers Issued Awards from SEC Totaling $2.5 Million	Kohn, Kohn & Colapinto
25 Sep	Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners	Winstead
25 Sep	Update on the Assault Upon FTC Enforcement Authority: Monetary Disgorgement Challenges and Executive Direction to Reform Agency Operations	Hinch Newman LLP
25 Sep	SEC Adopts Shareholder Amendments & Issues C&DI	Katten
25 Sep	SEC Finalizes Changes to the Requirements for Submission of Shareholder Proposals: Prepare for 2022 Proxy Season	Jones Walker LLP
25 Sep	SEC Approves Changes to Its Whistleblower Program	Squire Patton Boggs (US) LLP
25 Sep	SEC Adopts Final Rules Amending Its Whistleblower Program	Katz, Marshall & Banks, LLP
24 Sep	UK Chancellor announces Winter Economy Plan	Proskauer Rose LLP
24 Sep	SEC Adopts Amendments to Whistleblower Rules that Will Strengthen Some Aspects of the Program But Also Reduce Large Awards and Limit Protection Against Retaliation	Zuckerman Law
23 Sep	The SEC Whistleblower Rule Changes Explained	Kohn, Kohn & Colapinto
23 Sep	Best Interest Standard of Care for Advisors #32	Faegre Drinker
23 Sep	OCC and SEC’s FinHub Issue Guidance on Stablecoins	Hunton Andrews Kurth
22 Sep	SEC Proposes Amendments to The Advertising Rules for Registered Funds, BDCs, and ETFs	K&L Gates
22 Sep	SEC Focus on Municipal Securities: Disclosure and Enforcement – The Peculiar Structure of the Municipal Securities Disclosure Regime	Norris McLaughlin P.A.
22 Sep	SEC Expands Access to the Private Markets Through Expansion of Accredited Investor Definition in New Rule	Wiggin and Dana LLP
21 Sep	Anonymous SEC Whistleblower Earns $2.4 Million Award For Prompting Commission to Open Investigation	Kohn, Kohn & Colapinto
21 Sep	A Mix of Clarity and Confusion: Crypto Asset Law and Regulation in the UK	Proskauer Rose LLP
18 Sep	ESMA Renews 0.1 percent Reporting Requirement of Net Short Positions in EU Issuers	Katten
18 Sep	Securities and Exchange Commission (SEC) Updates, September 18, 2020	Katten
18 Sep	SEC Amends Environmental Disclosure Requirements	Hunton Andrews Kurth
18 Sep	SEC Issues New Risk Alert on “Credential Stuffing” Attacks	Faegre Drinker
18 Sep	CFTC Continues Efforts to Increase Enforcement Transparency – Issues New Guidance on Evaluating Corporate Compliance Program	Faegre Drinker
17 Sep	SEC Awards Whistleblower More Than $10 Million	Proskauer Rose LLP
17 Sep	Supplemental Guidance Regarding the Proxy Voting Responsibilities of Investment Advisers	Stark & Stark
16 Sep	Best Interest Standard of Care for Advisors #31	Faegre Drinker
16 Sep	Public Company Acquired Company Financial Statement Rules	Katten
15 Sep	Compliance Reminder: Pay-To-Play and the 2020 Election Cycle	K&L Gates
15 Sep	SEC Updates Statistical Disclosure Requirements for Banking Registrants	Bracewell LLP
15 Sep	CFTC Throws its Hat into the Corporate Compliance Arena	Sheppard, Mullin, Richter & Hampton LLP
15 Sep	‘Accredited Investor’: Regulatory Design, the Revised Definition, and the Unfinished Result	Norris McLaughlin P.A.
15 Sep	Wolf in Sheep’s Clothing: Bitclub Network Promoter Admits to Securities Fraud and Tax Offenses	Polsinelli PC
14 Sep	COVID-19 Enforcement Trends: March - August 2020	Sheppard, Mullin, Richter & Hampton LLP
14 Sep	SEC Adopts Rules To Regulate Proxy Advisory Firms	Jones Walker LLP
14 Sep	How to Report Unregistered Convertible Debt Lenders or Penny Stock Dealers and Earn an SEC Whistleblower Award	Zuckerman Law
11 Sep	SEC Division of Corporation Finance Issues Additional Guidance Related to Expiring Confidential Treatment Orders	Katten
11 Sep	SEC Adopts Amendments to Disclosures of Business Issues (Item 101), Legal Proceedings (Item 103), and Risk Factors (Item 105) Under Regulation S-K	Mintz
11 Sep	Everybody in the Pool! The SEC Expands the Definition of Accredited Investor	Dinsmore & Shohl LLP
11 Sep	SEC Adopts Amendments to Modernize Disclosures of Business, Legal Proceedings and Risk Factors under Regulation S-K	K&L Gates
11 Sep	FINRA Files Proposed Rule Change to Delete the Order Audit Trail System (OATS) Rules	Katten
10 Sep	How a Prior DOJ Settlement Doomed a SEC Enforcement Action: A Volkswagen Case Study	Mintz
10 Sep	The SEC Updates Its Environmental Disclosure Requirements for the First Time in 30 Years	Beveridge & Diamond PC
10 Sep	When the Tank Is Empty: Auditing in the Time of COVID-19	Norris McLaughlin P.A.
9 Sep	SEC Expands the “Accredited Investor” and “QIB” Definitions and the Permitted Scope of “Testing the Waters”	Proskauer Rose LLP
9 Sep	SEC Adopts Amendments to “Accredited Investor” Definition	Robinson & Cole LLP
9 Sep	Delaware Court of Chancery Clarifies that Management Cannot Unilaterally Curtail a Director’s Access to Corporation’s Privileged Information	Sheppard, Mullin, Richter & Hampton LLP
9 Sep	OCIE Issues Recommendations for Firms to Mitigate COVID-19-Related Compliance Risks	Vedder Price
9 Sep	Best Interest Standard of Care for Advisors #30	Faegre Drinker