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
26 Oct	Aggressive SEC and DOJ Parallel Charges for Accounting Fraud	Faegre Drinker
26 Oct	Economic Analysis at the Class Certification Stage of Exchange Act Securities Class Actions	Cornerstone Research
23 Oct	ESMA Publishes Consultation Paper on Draft RTS Relating to CCPs	Katten
23 Oct	SEC Adopts Amendments to Modernize Auditor Independence Rules	Katten
23 Oct	CFTC Issues Staff Advisory on Virtual Currency & Approves Final Rule on Security Futures Margin	Katten
22 Oct	SEC Announces Record-Breaking Whistleblower Award of $114 Million	Kohn, Kohn & Colapinto
22 Oct	SEC Speaks 2020: Enforcement and Examination Highlights	K&L Gates
22 Oct	With ESG, Things Aren’t Always As Green As They Seem	Mintz
22 Oct	Inside Looking Out: Enforcing the Law Against a Market Designer	Norris McLaughlin P.A.
22 Oct	Legal Obligations to Consider Before Installing a GPS Tracking Application	Varnum LLP
21 Oct	A Review of Recent Whistleblower Developments: October 21, 2020	Foley & Lardner LLP
21 Oct	Thoughts When Linking Public Company Executive Pay to D&I Initiatives	Hunton Andrews Kurth
21 Oct	Two Isn’t Always Better Than One: SDNY Denies Class Certification Where Lead Plaintiff Hired Two Firms	Mintz
21 Oct	SEC Proposes Exemptive Relief for Finders	Faegre Drinker
19 Oct	SEC Proposal to Exempt Certain "Finders" from Broker-Dealer Registration May Allow Significant Capital Raising Activities by Non-Registered Persons	Katten
19 Oct	2021 SEC Priorities in the Fund Space	Foley & Lardner LLP
19 Oct	Proposed Amendments to Hart-Scott-Rodino Act Regulations Could Dramatically Expand Filing Obligations of Investment Managers	K&L Gates
19 Oct	Louisiana Legislature Adopts Amendments To Louisiana Business Corporation Act	Jones Walker LLP
16 Oct	The SEC’s Enhanced Human Capital Disclosure Requirement: What Companies Should Know	Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
16 Oct	SEC Adopts New Rule 498A for Variable Contracts	Faegre Drinker
15 Oct	SEC Whistleblower Earns Award of Over $800,000 for Reporting Securities Fraud	Kohn, Kohn & Colapinto
15 Oct	Securities and Exchange Commission Adopts Final Fund of Funds Rule	Faegre Drinker
15 Oct	DOL Proposes New Rule on Proxy Voting Duties – Potential Implications for Investment Managers and Other ERISA Fiduciaries	K&L Gates
15 Oct	DOL Proposes New Rule on Proxy Voting Duties – Potential Implications for Investment Managers and Other ERISA Fiduciaries	K&L Gates
15 Oct	SEC Passes New Rule 12d1-4 Regarding Fund of Funds	Greenberg Traurig, LLP
15 Oct	Will California's Board Quota Law Change Diversity Disclosures In Proxy Statements?	Allen Matkins Leck Gamble Mallory & Natsis LLP
14 Oct	Time for a Change: The CFTC Adopts Extensive Amendments to Swap Reporting Regulations to Improve Data Quality	Katten
14 Oct	Securities and Exchange Commission Rescinds Guide 3	Dinsmore & Shohl LLP
14 Oct	Finders Keepers? SEC Proposes Exemption From Broker-Dealer Registration for Finders in Private Placements, but Questions Remain	K&L Gates
13 Oct	SEC Joint Statement on Form CRS and New FAQs & Upcoming Roundtable	Faegre Drinker
13 Oct	Update: Recent SEC Amendments to Disclosure Rules Regarding Business Description, Legal Proceedings, and Risk Factors Are Effective November 9, 2020	Jones Walker LLP
13 Oct	SEC Approves NYSE’s Plan for Primary Direct Listings, Then Stays Order to Consider the Changes	Jones Walker LLP
13 Oct	SEC Proposes Relief from Broker-Dealer Registration for Certain Finders	Mintz
13 Oct	Remarks of Dalia Blass, Director of the SEC’s Division of Investment Management, at the SEC Regulation Think-In 2020 Conference	Vedder Price
13 Oct	SEC Issues Statement in Response to the Report of the President’s Working Group on Financial Markets	Vedder Price
12 Oct	SEC Adopts Expanded “Accredited Investor” Definition	Vedder Price
12 Oct	Highlights from SEC Speaks 2020	Vedder Price
12 Oct	SEC Proposes Conditional Exemption for Tier I and Tier II Finders in Private Capital Raising	Proskauer Rose LLP
12 Oct	SEC Human Capital Reporting Rules Take Effect	Hunton Andrews Kurth
9 Oct	Securities and Exchange Commission Modernizes Disclosure Requirements For Financial Institutions	Polsinelli PC
9 Oct	SEC Proposes Allowing ‘Finders’ to Raise Capital Without Registering as Broker-Dealers	Katten
9 Oct	Scrolling to the End SoluTech Sanctioned After Conducting Illegal Sale of Securities	Polsinelli PC
9 Oct	Unpacking the DOJ and SEC FCPA Resource Guide	Faegre Drinker
9 Oct	SEC Proposes Exemption from Registration for Finders	Greenberg Traurig, LLP
9 Oct	SEC Awards Almost $30 Million to Two Insider Whistleblowers	Proskauer Rose LLP
8 Oct	SEC Amends Rule 15c2-11, Enhancing Retail Investor Protections and Modernizing the Standards Governing Quotations for OTC Securities	Jones Walker LLP
8 Oct	“We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts	Norris McLaughlin P.A.
8 Oct	SEC Settles Enforcement Action against Private Equity Firm for Beneficial Ownership Reporting Violations	Faegre Drinker
8 Oct	SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets	Greenberg Traurig, LLP
8 Oct	SEC's Proposed Exemptive Order For Finders Overlooks California Exemption	Allen Matkins Leck Gamble Mallory & Natsis LLP