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
8 Jul	CFTC Withdraws Regulation AT and Proposes New Electronic Trading Risk Principles	Faegre Drinker
8 Jul	Court Rules Rights To Timeshare Vacation Points Are Not Securities	Allen Matkins Leck Gamble Mallory & Natsis LLP
7 Jul	Interplay of Main Street Lending Program Documents: the Rights and Role of the Main Street	Sheppard, Mullin, Richter & Hampton LLP
7 Jul	NYSE Extends Waiver of Certain Shareholder Approval Requirements as a Result of Coronavirus (COVID-19)	Mintz
7 Jul	SEC Amends Financial Reporting Rules for Investment Company Business Combination Transactions	Vedder Price
6 Jul	SEC Extends Relief from 1940 Act In-Person Voting Requirements	Vedder Price
6 Jul	SEC Staff Issues No-Action Letter Regarding Fund Participation in the Federal Reserve Board’s 2020 Term Asset-Backed Loan Facility	Vedder Price
6 Jul	Pandemic for Profit? – SEC Enforcement Patrols Press Releases	Proskauer Rose LLP
6 Jul	SEC Chairman Confirms June 30 Compliance Date for Regulation Best Interest and Form CRS	Vedder Price
6 Jul	DOJ/SEC Release New Edition of FCPA Resource Guide	Foley & Lardner LLP
6 Jul	SEC Staff Reverses Position on State Control Share Statutes for Closed-End Funds	Vedder Price
6 Jul	LIBOR Preparedness Exams Are Coming – Is Your Firm Ready?	Katten
6 Jul	Supreme Court Upholds SEC Penalty, but Tasks Ninth Circuit with Defining Wrongful “Profits”	Kohn, Kohn & Colapinto
3 Jul	Second Circuit Upholds Regulation BI	Bracewell LLP
2 Jul	SEC Issues Additional Disclosure Guidance in Response to COVID-19	Polsinelli PC
2 Jul	Liu v. SEC —SCOTUS Weighs In, But Disgorgement Questions Remain	Mintz
2 Jul	Volcker Rule Amended to Permit Venture Fund, Credit Fund and Other New Investments	Polsinelli PC
1 Jul	SEC Provides Further Guidance On COVID-19 Disclosure	McDermott Will & Emery
1 Jul	Department of Labor Proposal Would Curtail ESG Investing	Proskauer Rose LLP
1 Jul	Ring of Fire - SEC Hangs Up on Telegram	Polsinelli PC
1 Jul	Supreme Court Update: Liu v. Securities & Exchange Commission (No. 18-1501), Department of Homeland Security v. Thuraissigiam (No. 19-161)	Wiggin and Dana LLP
1 Jul	The Second Circuit Upholds Reg BI	Faegre Drinker
1 Jul	Are Shares Of A Corporation Owned By A Subsidiary Entitled To Vote?	Allen Matkins Leck Gamble Mallory & Natsis LLP
30 Jun	IMS Insights Episode 17: Dr. Charles Cowan on COVID-19 Impacts to the CMBS Market [PODCAST]	IMS ExpertServices
30 Jun	SEC Staff Provides Additional Disclosure Guidance Relating to the COVID-19 Pandemic	Foley & Lardner LLP
30 Jun	D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates	Sheppard, Mullin, Richter & Hampton LLP
30 Jun	SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies	Proskauer Rose LLP
30 Jun	SEC Disgorgement Lives to See Another Day After Supreme Court's Liu v. SEC Ruling	Greenberg Traurig, LLP
30 Jun	SEC Extends Guidance for Email Paper Documents & Manual Signatures Required	Mintz
30 Jun	Must The Board Approve All Corporate Giving?	Allen Matkins Leck Gamble Mallory & Natsis LLP
29 Jun	Fifth Circuit Upholds Dismissal of Diversification and Prudence Claims Targeting A Single Stock Fund in a 401(k) Plan	Proskauer Rose LLP
29 Jun	Supreme Court Preserves But Limits SEC Disgorgement Power	Sheppard, Mullin, Richter & Hampton LLP
29 Jun	This Blue Sky Law May Cast A Shadow On Promissory Note Amendments	Allen Matkins Leck Gamble Mallory & Natsis LLP
29 Jun	DC Circuit Repudiates SEC Program for Testing Exchange Fee Structures	Sheppard, Mullin, Richter & Hampton LLP
26 Jun	Volcker 3.0: The Agencies Relax the Volcker Rule Requirements for Securitizations and Foreign Funds and Grant New Exemptions from the Covered Fund Restrictions	Cadwalader, Wickersham & Taft LLP
26 Jun	NFA Sets Effective Date for Rule Amendments Related to NFA’s Penalties and Disciplinary Procedures	Katten
26 Jun	CFTC Approves Two Final Rules and Two Proposed Rules at June 25 Open Meeting	Katten
26 Jun	Prudential Regulators Revise Initial Margin Rules for Uncleared Swaps	Katten
26 Jun	SEC Antitrust Memo; Chairman Speaks on Equity Market Structure; FINRA CAB Suitability	Katten
26 Jun	Volcker Rule Regulators Make Changes to Covered Fund Rules	Katten
26 Jun	UK Corporate & Financial Update: New Prudential Regime Statement, Legacy LIBOR Contracts, & Cryptoasset Business Registration	Katten
26 Jun	Accounting and Auditing Enforcement Activity Declines Slightly in 2019	Cornerstone Research
25 Jun	The Supreme Court Affirms, but Limits, the SEC's Disgorgement Power	Bracewell LLP
25 Jun	To File Or Not To File Under Rule 260.103?	Allen Matkins Leck Gamble Mallory & Natsis LLP
25 Jun	Supreme Court Limits SEC’s Authority to Disgorge Ill-Gotten Gains in Civil Suits	Sheppard, Mullin, Richter & Hampton LLP
24 Jun	U.S. Supreme Court Confirms SEC’s Right To Seek Disgorgement Under Securities Exchange Act	Barnes & Thornburg LLP
24 Jun	UPDATE: SEC Extends Relief for In-Person Meetings of Fund Boards Through December 31, 2020	Proskauer Rose LLP
24 Jun	Supreme Court Recognizes, Limits SEC’s Disgorgement Power	Foley & Lardner LLP
24 Jun	Calendar Fiscal Year Companies, It Is Time To Calculate Public Float — Remember Recent SEC Amendments to Definitions of Accelerated Filer and Large Accelerated Filer	Jones Walker LLP
24 Jun	Marketplace Lending #8: Colorado Scores in Madden 2020	Cadwalader, Wickersham & Taft LLP