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
22
2019
 SEC Adopts Amendments to Modernize and Simplify Disclosure Requirements Bracewell LLP
Mar
22
2019
 FINRA Issues Guidance on FOCUS Reporting for Operating Leases Katten
Mar
22
2019
 CFTC Announces Energy and Environmental Markets & Global Markets Advisory Committee Meetings Katten
Mar
20
2019
 Upcoming/New CFIUS Filing: Brookfield Asset Management and Oaktree Capital Group Squire Patton Boggs (US) LLP
Mar
18
2019
 Bridging the Week by Gary DeWaal: March 11 – 15 and March 18, 2019 (Positioning for New Position Limits Proposal; Custody and Cryptoassets; Supervision for Swap Dealers) VIDEO Katten
Mar
17
2019
 NFA Issues Notices I-19-07 & I-19-08 Katten
Mar
16
2019
 FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs Katten
Mar
13
2019
 Upcoming/New CFIUS Filing: GIC Pte. Ltd., Enagas S.A. and Tallgrass Energy Squire Patton Boggs (US) LLP
Mar
12
2019
 Second Circuit Holds That Issuer’s Alleged Statements Concerning Its Regulatory Compliance Efforts Do Not Constitute Material Misstatements Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 CFTC and NFA Commodities Regulatory Update Greenberg Traurig, LLP
Mar
12
2019
 ICSID 2018 Caseload Reflects Continued Uptick of Investor-State Arbitrations Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 Teva Putative Federal Securities Class Member Seeks to Toll Statute of Repose with Motion to Intervene Mintz
Mar
12
2019
 SEC Releases SCSD Self-Reporting Initiative Settlements Faegre Drinker
Mar
11
2019
 Bridging the Week by Gary DeWaal: March 4 – 8 and March 11, 2019 (Bribing Is Wrong; Smarter Swaps APs Are Better; Commercially Reasonable Prices for EFRPs Are Best) Katten
Mar
11
2019
 Fifth Circuit Affirms Dismissal of Former VP’s SOX Claim as Unreasonable Polsinelli PC
Mar
9
2019
 For Tax-Exempt Employers: 403(b) Retirement Plan Compliance Opportunity Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2019
 Council of EU Invites COREPER To Approve Final Compromise Text of EMIR Refit Regulation Katten
Mar
8
2019
 Blockchain & Cryptocurrency Newsletter - Winter 2019 Greenberg Traurig, LLP
Mar
8
2019
 ESMA Statement on Application of MiFID II, MiFIR and BMR Provisions in No-Deal Brexit Katten
Mar
8
2019
 Ninth Circuit Rules Alleged FCPA Violation Cannot Support SOX Claim Jackson Lewis P.C.
Mar
8
2019
 With the SEC, Cooperation is Key Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2019
 ESMA Publishes Annual Transparency Calculations for 2019/20 Equity and Equity-Like Instruments Katten
Mar
8
2019
 What’s In Store For A Fiduciary Standard in 2019 Womble Bond Dickinson (US) LLP
Mar
7
2019
 Rescinding Initial Coin Offerings Under California Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
6
2019
 CFPB Sends Letters Inviting Submission of Diversity and Inclusion Self-Assessments Ballard Spahr LLP
Mar
6
2019
 SEC Modifies the Submission Deadlines for Filing Form N-PORT Citing Cybersecurity Concerns Faegre Drinker
Mar
5
2019
 CFTC Issues $2 Million Whistleblower Award to Individual Whistleblower for Analysis of Market Data Proskauer Rose LLP
Mar
5
2019
 Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims Sheppard, Mullin, Richter & Hampton LLP
Mar
4
2019
 Fifth Circuit Affirms Summary Judgment on SOX Whistleblower Claim Proskauer Rose LLP
Mar
4
2019
 SEC Staff Provides Relief for Registered Investment Company Boards Regarding Certain In-Person Voting Requirements Faegre Drinker
Mar
4
2019
 Bridging the Week by Gary DeWaal: February 25 – March 1 and March 4, 2019 (Appeal Not Appealing; Purported Fraudster Indicted for Fraud) Katten
Mar
4
2019
 Come On In, The Water’s Fine: SEC Proposes Expanding “Test-The-Waters” Communications to All Issuers McDermott Will & Emery
Mar
1
2019
 Colorado Digital Token Act Exempts Certain Cryptocurrency Transactions From Colorado Securities Laws Greenberg Traurig, LLP
Mar
1
2019
 SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers Katten
Mar
1
2019
 CFTC Decides Not to Appeal the DRW Ruling Faegre Drinker
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