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
11 Apr	Accounting-Related Securities Class Action Filings Continue to Rise in 2020	Cornerstone Research
9 Apr	Jane Norberg To Step Down After Years of Success as Chief of SEC Whistleblower Office	Kohn, Kohn & Colapinto
9 Apr	Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers	Katten
9 Apr	April 2021 Investment Management Legal and Regulatory Update	Godfrey & Kahn S.C.
9 Apr	What Will the SEC's ESG Enforcement Look Like? Cyber Cases Offer Clues	Bracewell LLP
8 Apr	SEC Creates Climate Change and ESG Website to Act as Central Hub for Agency Action and Information	Jones Walker LLP
7 Apr	SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption?	Winstead
6 Apr	Valuation in Times of Market Disruption	Proskauer Rose LLP
6 Apr	SEC Demonstrates Commitment to Protecting Whistleblowers	Katz, Marshall & Banks, LLP
6 Apr	Does The CSL Observe "No Harm, No Foul"?	Allen Matkins Leck Gamble Mallory & Natsis LLP
5 Apr	Surge in SPACtivity Leads to Litigation and Regulatory Risks	McDermott Will & Emery
5 Apr	SEC Ventures Into The Dark Web, But Can It Establish A Connection?	Allen Matkins Leck Gamble Mallory & Natsis LLP
2 Apr	SEC Discloses Its Recommendations on Key Issues for Private Companies Weighing SPAC Transactions	Mintz
31 Mar	ESG/SEC Disclosure and Implications [VIDEO]	Bracewell LLP
31 Mar	Health Care Enforcement Update: Covid-19 Fraud Cases Brought By DOJ And Private Plaintiffs	Mintz
31 Mar	Environmental, Social and Corporate Governance: What are the Risks, Really?	Hunton Andrews Kurth
31 Mar	To SPAC or not to SPAC -- Key Considerations for Mid-Sized Private Equity Managers about the SPAC Process (Part 1)	K&L Gates
31 Mar	Changes to AIFMD Marketing Rules from August 2021 – How will these New Rules Impact Fund Managers?	Proskauer Rose LLP
30 Mar	Post-SPAC Technology Company Hit with Securities Class Action	Proskauer Rose LLP
30 Mar	What Happens Abroad, Apparently Does Not Stay Abroad – DOL Revokes Trump Administration Guidance That Provided Relief to QPAMs for Convictions Under Foreign Law	Proskauer Rose LLP
30 Mar	Polarizing Panel Suggests No Easy Road to Final ESG Regulatory Scheme	Proskauer Rose LLP
30 Mar	Under the Cover of Darkness: Insider Trading and the Dark Web	Norris McLaughlin P.A.
30 Mar	SEC Whistleblower Office Surpasses Record Number of Claimants Rewarded in a Fiscal Year with $500,000 Award	Kohn, Kohn & Colapinto
30 Mar	SEC Seeks Public Input on Potential Changes to Climate Risk Reporting	Beveridge & Diamond PC
30 Mar	Supreme Court to Weigh in on Presumption of Reliance in Securities Class Actions: Goldman Sachs v. Arkansas Teacher Retirement System	Cadwalader, Wickersham & Taft LLP
30 Mar	European Regulators Publish Joint Opinion on the Jurisdictional Scope of the EU Securitisation Regulation	Cadwalader, Wickersham & Taft LLP
26 Mar	2021’s Continued SPAC Boom Invites Heightened SEC Scrutiny of SPAC Transactions	Mintz
26 Mar	SEC Movement on ESG Disclosures: SEC and Investors Enhance Focus on Climate Change and Other ESG Disclosures	Foley & Lardner LLP
26 Mar	Decision Diagnostics Saga Continues as Investors Bring Suit	Proskauer Rose LLP
26 Mar	SEC News from Katten's Corporate & Financial Weekly Digest - Week of March 26	Katten
26 Mar	2021 SEC Examination Priorities for Securities Industry Registrants	Greenberg Traurig, LLP
25 Mar	Nasdaq Board Diversity Proposals Update: SEC Issues Notice of Amendments and Establishes Proceedings To Move Forward	Jones Walker LLP
25 Mar	Beware the Ides of March: SEC Requests Comments on Climate Disclosure	Norris McLaughlin P.A.
25 Mar	The CFTC: An Increasingly Necessary Agency for Combatting International Fraud	Kohn, Kohn & Colapinto
25 Mar	Nasdaq And The SEC Both Can't Be Correct	Allen Matkins Leck Gamble Mallory & Natsis LLP
25 Mar	Nasdaq Amends Proposed Rule on Board Diversity to Provide Compliance Flexibility	Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
24 Mar	Increased Regulatory Scrutiny of Private Funds	Proskauer Rose LLP
24 Mar	Recent Climate and ESG Disclosure Activity — What does it mean for the SEC’s Conflict Minerals Rule?	Squire Patton Boggs (US) LLP
22 Mar	SEC Proposes Amendments to Rule 144	Jones Walker LLP
22 Mar	The First Quarter of 2021 Provides a Glimpse into the Future of SEC Enforcement	Jones Walker LLP
22 Mar	The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest	Katten
20 Mar	Securities Class Action Settlements Stay on Pace Despite Pandemic	Cornerstone Research
19 Mar	Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures	Katten
19 Mar	The Investment Company Act - What Does Tonopah Have To Do With It?	Allen Matkins Leck Gamble Mallory & Natsis LLP
18 Mar	SEC Commissioner Calls for a Brave New Approach to Corporate Penalties	Sheppard, Mullin, Richter & Hampton LLP
18 Mar	Bipartisan Bill to Exclude Digital Tokens from Federal Securities Laws	Hunton Andrews Kurth
17 Mar	SEC Underscores ESG Disclosure and Compliance Priorities	Bracewell LLP
17 Mar	SEC Division of Examinations Announces 2021 Examination Priorities	Polsinelli PC
17 Mar	Sellers Beware: Fiduciary Duty Risks to Directors	Sheppard, Mullin, Richter & Hampton LLP
16 Mar	SEC Division of Examinations Announces 2021 Examination Priorities	Proskauer Rose LLP