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.

For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.

Date Title Organization
23
Feb
SEC Significantly Broadens "Dealer" Definition Katten
23
Feb
SEC Answers Questions on New Tailored Shareholder Report Requirements Proskauer Rose LLP
23
Feb
Final Final Answer: Loans Are Not Securities Cadwalader, Wickersham & Taft LLP
22
Feb
Blockchain+ Bi-Weekly - February 22, 2024 Polsinelli PC
22
Feb
February 2024 Regulatory Round-Up Cadwalader, Wickersham & Taft LLP
22
Feb
FinCEN Proposes New Rule Requiring AML Compliance Programs for Investment Advisers Cadwalader, Wickersham & Taft LLP
22
Feb
SEC Expands Regulatory Oversight of Private Fund Advisers - Amendments to Form PF ArentFox Schiff LLP
21
Feb
Roundup of SEC Whistleblower Office’s January Notices of Covered Actions Kohn, Kohn & Colapinto
20
Feb
Not Done Yet: Australia’s Odyssey Into Regulating Artificial Intelligence (AI) K&L Gates
20
Feb
Fifth Circuit Orders En Banc Rehearing of Rejected Challenge to Nasdaq’s Board-Diversity Rules Proskauer Rose LLP
19
Feb
Regulation: Industry Comments on SEC’s Fund Name Proposal Cadwalader, Wickersham & Taft LLP
19
Feb
Regulation: First Greenwashing Fine Issued in Australia Cadwalader, Wickersham & Taft LLP
19
Feb
Litigation and Enforcement: Asset Manager Self-Reporting of Greenwashing Regulatory Breach Cadwalader, Wickersham & Taft LLP
16
Feb
DOJ and SEC Officials Issue Harsh Warnings Concerning the Misuse of AI Sheppard, Mullin, Richter & Hampton LLP
16
Feb
Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts Sheppard, Mullin, Richter & Hampton LLP
16
Feb
FinCEN Proposes AML Requirements on Registered Investment Advisers (Including Exempt Reporting Advisers) K&L Gates
16
Feb
Proposed AML Suspicious Activity Rule Stark & Stark
15
Feb
SEC Receives Complaint of Alleged Greenwashing by International Energy Company Cadwalader, Wickersham & Taft LLP
15
Feb
CFIUS Filing Pending: Czechoslovak Group a.s. and Sporting Products Business of Vista Outdoor Inc. Squire Patton Boggs (US) LLP
15
Feb
Managing and Reporting Third-Party Cybersecurity Incidents Under the New SEC Cyber Risk Regulations Squire Patton Boggs (US) LLP
15
Feb
Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability Katten
15
Feb
It's Lupercalia! CFL Annual Reports Are Due In 30 Days Allen Matkins Leck Gamble Mallory & Natsis LLP
15
Feb
SEC Broadens 'Dealer' Definition Katten
15
Feb
Third Time's a Charm? SEC & CFTC Finalize Amendments to Form PF Katten
15
Feb
SFC Circular on SFC-Authorized Funds with Exposure to Virtual Assets-Part 1 K&L Gates
14
Feb
SEC Adopts New Rules Regarding SPAC Transactions Barnes & Thornburg LLP
14
Feb
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements with Retail Clients K&L Gates
14
Feb
U.S. Supreme Court Holds SOX Whistleblowers Not Required to Show Retaliatory Intent (US) Squire Patton Boggs (US) LLP
14
Feb
SEC Expands “Dealer” Definition Hunton Andrews Kurth
13
Feb
Frequently Asked Questions for Private Companies Considering a Reverse Merger Mintz
13
Feb
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) K&L Gates
13
Feb
Blowing the Whistle on AI Investment Fraud Kohn, Kohn & Colapinto
12
Feb
Fifth Circuit Court of Appeals Hears Oral Arguments in Industry Groups' Ongoing Petition to Vacate Private Fund Adviser Rules K&L Gates
12
Feb
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse Norris McLaughlin P.A.
12
Feb
Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations Norris McLaughlin P.A.
9
Feb
SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions Robinson & Cole LLP
9
Feb
Supreme Court Rules ‘Retaliatory Intent’ Not Required for Securities Whistleblower Protection Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
8
Feb
Blockchain+ Bi-Weekly February 8, 2024 Polsinelli PC
8
Feb
Amicus Brief Outlines Congressional Intent for Burden of Proof in SOX Whistleblower Cases Kohn, Kohn & Colapinto
8
Feb
Non-Financial Corporate Reporting for U.S. Companies – Where to Start? Proskauer Rose LLP
8
Feb
EnforceMintz — 2023 Brings Uptick in Cybersecurity Enforcement, Insight Into Potential Risks Mintz
8
Feb
Lawmakers Introduce Resolution to Nullify SEC’s Crypto Accounting Bulletin Greenberg Traurig, LLP
7
Feb
SEC Expands Definition of Dealers and Government Securities Dealers K&L Gates
5
Feb
SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 K&L Gates
5
Feb
2023 Retail Industry Year in Review Hunton Andrews Kurth
5
Feb
Does the Securities Exchange Act of 1934 Preclude Actions in State Court Under Corporations Code Section 25401? Allen Matkins Leck Gamble Mallory & Natsis LLP
2
Feb
Top Risks for Businesses in 2024 Bradley Arant Boult Cummings LLP
2
Feb
ExxonMobil Strikes Back: Energy Companies Take a More Proactive Approach to Activist ESG Shareholders Bracewell LLP
2
Feb
Groundbreaking SEC Decision Approves Spot Bitcoin ETP Trading ArentFox Schiff LLP
1
Feb
Federal Court Holds Terraform Crypto Assets are Securities Including Stablecoin in Combination with Related Yield Protocol Barnes & Thornburg LLP
 

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