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.

Custom text Title Organization
Mar
18
2024
Cadwalader Climate (March 11, 2024) Cadwalader, Wickersham & Taft LLP
Mar
16
2024
That Didn't Take Long . . . Fifth Circuit Temporarily Blocks New SEC Climate Disclosure Rule Mintz
Mar
15
2024
SEC Adopts Climate-Related Risk Disclosure Rules: What Public Companies, Executives and Investors Need to Know McDermott Will & Emery
Mar
15
2024
ELTIF 2.0 – European Commission Proposes Amendments to the ESMA Draft RTS Proskauer Rose LLP
Mar
14
2024
SEC Approves Sweeping New Climate Disclosure Rule: Key Takeaways Mintz
Mar
14
2024
Deputy Attorney General Monaco Warns Industries: “Fraud Using AI is Still Fraud” ArentFox Schiff LLP
Mar
14
2024
FinCEN AML Alert: SEC Investment Advisers Again in Focus Katten
Mar
14
2024
The 'Effective Spread' of Order Execution Quality Reporting Katten
Mar
13
2024
SEC Adopts Comprehensive Package of Climate-Related Disclosure Rules; Scope 3 Emission Metrics Excluded Greenberg Traurig, LLP
Mar
13
2024
SEC v Panuwat: The SEC’s Novel “Shadow Trading” Insider Trading Case Goes to Trial Foley & Lardner LLP
Mar
13
2024
SEC Approves Climate-Related Disclosure Requirements ArentFox Schiff LLP
Mar
12
2024
Threading the Needle: The US Securities and Exchange Commission's Final Climate-Related Disclosure Rules K&L Gates
Mar
12
2024
SEC’s Slimmed Down Climate-Related Disclosures Finally Adopted Foley & Lardner LLP
Mar
11
2024
The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A Security Katten
Mar
11
2024
Changing Climate for Corporate Disclosures: SEC Mandates Climate Disclosures for Public Companies Beveridge & Diamond PC
Mar
11
2024
SEC Issues Climate Disclosure Rules Van Ness Feldman LLP
Mar
11
2024
Laying Down the Law: SEC Sanctions UK Broker/Dealer and Four U.S. Representatives Norris McLaughlin P.A.
Mar
11
2024
Department of Justice Announces New Whistleblower Rewards Program Cadwalader, Wickersham & Taft LLP
Mar
8
2024
New SEC Climate-Related Disclosure Rule Blank Rome LLP
Mar
8
2024
DOJ Announces Corporate Whistleblower Award Program Katz Banks Kumin LLP
Mar
8
2024
SEC Finalizes Much-Anticipated Climate Disclosure Rules Katten
Mar
8
2024
SEC Settlement Highlights Risks for 13G Filers When Moving from Passive to Active Status Proskauer Rose LLP
Mar
8
2024
Part 3: Separate Accounts and CFTC Regulation §1.44—Different Views of the Same Situation Blank Rome LLP
Mar
7
2024
DOJ’s New Whistleblower Reward Program Will Supercharge White Collar Enforcement Zuckerman Law
Mar
7
2024
Ten States Sue to Block SEC Climate Disclosure Rule Before the Ink is Dry Mintz
Mar
7
2024
Loss Of $6 Million in Deposits is No Forfeiture Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
7
2024
Insurance Implications of SEC and CFTC’s New Form PF Requirements Hunton Andrews Kurth
Mar
6
2024
The SEC Adopts Extensive Climate Change Disclosure Rules Proskauer Rose LLP
Mar
6
2024
SEC Issues Long-Awaited Climate Disclosure Rule Mintz
Mar
6
2024
SEC Issues Long-Awaited Climate Risk Disclosure Rule K&L Gates
Mar
6
2024
SEC Targets Crypto and DeFi Platforms with New Rules and an Enforcement Action Mintz
Mar
6
2024
SEC Climate Disclosure Rule “Paves Way for Greenwashing” Kohn, Kohn & Colapinto
Mar
6
2024
Investment Advisers to Be Subject to Strengthened AML Regulations Under FinCEN’s Proposed Rule ArentFox Schiff LLP
Mar
5
2024
SEC and CFTC Adopt Amendments to Form PF for Increased Disclosure K&L Gates
Mar
4
2024
Lifting the Fog on the Foreign Corrupt Practices Act: Enforcement and Compliance Trends to Watch in San Francisco Bracewell LLP
Feb
29
2024
SEC Schedules Vote on Proposed Climate Disclosures Mintz
Feb
29
2024
Redefining Insider Trading: The SEC's Groundbreaking Theory in the Panuwat Case Miller Canfield
Feb
28
2024
SEC Expands Dealer Registration Requirements Greenberg Traurig, LLP
Feb
28
2024
SEC Expands "Dealer" Definition to Capture Liquidity Providers K&L Gates
Feb
27
2024
2024 Litigation Look Ahead Series: Challenges to Administrative Law Judges, Judicial Review Process Could Limit Executive Power Beveridge & Diamond PC
Feb
27
2024
IRS Releases Proposed Donor-Advised Fund Regulations Cadwalader, Wickersham & Taft LLP
Feb
26
2024
SEC Expected to Drop Scope 3 GHG Emissions Disclosure Requirements From Final Climate Rule Mintz
Feb
25
2024
An Update on the SEC’s Cybersecurity Reporting Rules Hunton Andrews Kurth
Feb
23
2024
SEC Significantly Broadens "Dealer" Definition Katten
Feb
23
2024
SEC Answers Questions on New Tailored Shareholder Report Requirements Proskauer Rose LLP
Feb
23
2024
Final Final Answer: Loans Are Not Securities Cadwalader, Wickersham & Taft LLP
Feb
22
2024
Blockchain+ Bi-Weekly - February 22, 2024 Polsinelli PC
Feb
22
2024
February 2024 Regulatory Round-Up Cadwalader, Wickersham & Taft LLP
Feb
22
2024
FinCEN Proposes New Rule Requiring AML Compliance Programs for Investment Advisers Cadwalader, Wickersham & Taft LLP
Feb
22
2024
SEC Expands Regulatory Oversight of Private Fund Advisers - Amendments to Form PF ArentFox Schiff LLP
 

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