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
15 Jan	FINRA Postpones Implementation of Mandatory Margin for Covered Agency Transactions	Katten
15 Jan	SEC Issues No-Action Letter Regarding Institutional Family Offices	Katten
15 Jan	Cakes Gone Bad: The Cheesecake Factory Faces Securities Scrutiny	Proskauer Rose LLP
14 Jan	SEC Whistleblower Program Surpasses Record Amount of Awards Granted in a Fiscal Year	Kohn, Kohn & Colapinto
14 Jan	Taming the Elephants: SEC Jumbo Trader Risk Alert	Norris McLaughlin P.A.
14 Jan	Half a Loaf: Congress Extends the Statute of Limitations on Some SEC Remedies	Barnes & Thornburg LLP
13 Jan	Supreme Court Asks Second Circuit to Reconsider Ruling in Insider Trading Prosecution	Polsinelli PC
13 Jan	A Proxy Season and Annual Report Guide to 2021	Dinsmore & Shohl LLP
12 Jan	SEC Amends Advertising and Solicitation Rules: Numerous Changes to Start Digesting and Implementing.	Stark & Stark
12 Jan	How Companies Can Prepare for SEC Proxy Advisor Reform	Mintz
11 Jan	Congress Passes NDAA Legislation Extending SEC’s Disgorgement Powers	Foley & Lardner LLP
11 Jan	Congress Extending the SEC Statute of Limitations to 10 Years?!!	Faegre Drinker
8 Jan	Division of Examinations Issues Risk Alert on Securities Investment that Finance Communist Chinese Military Companies	Foley & Lardner LLP
8 Jan	SEC Digital Asset Securities, Internal Security-Based Swaps Joint Venture Statements	Katten
8 Jan	SEC Again Approves NYSE’s Direct Listing Rules	Katten
8 Jan	SEC Issues Five Whistleblower Awards Totaling Over $1.1 Million	Kohn, Kohn & Colapinto
8 Jan	SEC Proposes Rule 144 Tacking Amendments	Katten
8 Jan	CFTC Staff Provides Temporary Relief to Futures Commission Merchants Regarding Certain SOFR-Linked Investments	Katten
8 Jan	CFTC Provides Relief to DCOs from New Daily Reporting Requirements	Katten
8 Jan	Elad Roisman Named Acting Chairman of SEC	Katten
8 Jan	Valuation of AIFS in India VS Funds in the US	Nishith Desai Associates
7 Jan	"Gig" Workers May Become Eligible to Receive Equity Compensation	Mintz
7 Jan	Tacking When Floating and Other Proposed Amendments to SEC Rule 144	Norris McLaughlin P.A.
7 Jan	SEC Proposes Changes to Modernize and Simplify Equity Compensation Rules and Registration Obligations	Polsinelli PC
6 Jan	Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement	Winstead
6 Jan	ESG Investing and Retirement Plans	Bracewell LLP
6 Jan	SolarWinds Government Data Breach Leads to Securities Action	Proskauer Rose LLP
6 Jan	If You Are Looking To Be Taken Seriously, Write To The SEC And Be Prepared For A Wait	Allen Matkins Leck Gamble Mallory & Natsis LLP
5 Jan	U.S. Set to Bar Investments in Communist Chinese Military Companies	Stark & Stark
5 Jan	Felling Goliaths: ICE, Prudential, and the SEC Slingshot	Norris McLaughlin P.A.
5 Jan	SEC Finalizes Updates to Advertising and Cash Solicitation Rules	Vedder Price
5 Jan	UPDATED: The Reauthorization and Revival of the Paycheck Protection Program and Economic Injury Disaster Loan Program under the Economic Aid to Hard-Hit Small Businesses, Nonprofits, and Venues Act	Sheppard, Mullin, Richter & Hampton LLP
4 Jan	A New Year’s Booster Shot: Congress Grants the SEC a Statutory Disgorgement Remedy and Extended Statute of Limitations	Cadwalader, Wickersham & Taft LLP
4 Jan	U.S. Prohibits Trading in Securities of Communist Chinese Military Companies, but NYSE Reverses Plan to Delist	Greenberg Traurig, LLP
4 Jan	SEC Adopts New Framework for Fund Valuation	Vedder Price
31 Dec	Letting Qualified Experts Expand the Pink to Avoid the Grey: Proposed Conditional Waiver to SEC Rule 15c2-11	Norris McLaughlin P.A.
31 Dec	SEC Proposes Revisions to Rule 144 and Form 144	K&L Gates
29 Dec	Direct Listing on the New York Stock Exchange: “Undertaking” the Underwriter REDUX	Norris McLaughlin P.A.
29 Dec	During Biden Administration, SEC will require Climate Change Risk and ESG Disclosure	Mintz
29 Dec	SPAC Disclosures – SEC Focuses in on Conflicts of Interests	Proskauer Rose LLP
23 Dec	The View From Across the Pond — UK/EU Updates	Katten
23 Dec	Securitization Disclosure and Document Updates for 2020 and 2021	Katten
23 Dec	The $180 Million Chinese Coffee Case for Attempting to Manage Earnings	Faegre Drinker
22 Dec	SEC Adopts Modernized Marketing Rule for Investment Advisers	Foley & Lardner LLP
22 Dec	SEC Whistleblower Who Risked Personal Safety Receives $1.6 Million Award	Kohn, Kohn & Colapinto
22 Dec	Nasdaq Board Diversity Proposal Highlights Importance of ESG Issues, Increased D&O Risks	Hunton Andrews Kurth
18 Dec	SEC Amends Regulation S-T to Permit Electronic Signatures	Foley & Lardner LLP
18 Dec	SEC Adopts Final Resource Extraction Disclosure Rules; Duplicative Regulation Clearing Agency Rule	Katten
17 Dec	SEC Adopts Final Fund of Funds Rule	Faegre Drinker
17 Dec	Cyberattack on SolarWinds Product Victimizes Public and Private Sector Targets	Faegre Drinker