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
30
2021
 Polarizing Panel Suggests No Easy Road to Final ESG Regulatory Scheme Proskauer Rose LLP
Apr
28
2022
 Political Criticism by Congressional Republicans of SEC Proposal on Mandatory Climate Disclosures Mintz
Jun
21
2021
 Political Momentum Grows in Support of Mandatory Financial ESG Disclosures Mintz
Oct
30
2014
 Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It Allen Matkins Leck Gamble Mallory & Natsis LLP
May
14
2012
 Ponzi Schemes: Keeping Your “Return” on “Investment” Atlanta's John Marshall School of Law
Aug
8
2019
 Possible Changes for FINRA’s Restricted Person and Spinning Provisions Bracewell LLP
May
3
2022
 Possible Cyberwarfare? Here’s How to Stay Armed. Bradley Arant Boult Cummings LLP
Jul
25
2019
 Possible Delay of CECL for Certain Small Banks and Nonpublic Entities Jones Walker LLP
Jun
10
2023
 Possible Extension of Clawback Rule Effectiveness is Welcome Development for Issuers Proskauer Rose LLP
May
12
2014
 Possible Future Stay of SEC’s Conflict Minerals Rules - Securities and Exchange Commission Morgan, Lewis & Bockius LLP
Jun
20
2014
 Possible Offshore Deferrals for Hedge Fund Managers – IRS Confirms That Certain Stock Options and Stock Appreciation Rights Are Exempt Under Section 457A Proskauer Rose LLP
Oct
31
2017
 Post No Bills: SEC Warns of California Wildfire Investment Scams Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2016
 Post-Election Outlook for Financial Regulatory Agencies: U.S. Securities and Exchange Commission Covington & Burling LLP
May
6
2014
 Post-Issuance Compliance – More Than Just A Best Practice Re: Tax-Exempt Bonds Varnum LLP
Jan
4
2023
 Post-Madoff, SEC Successfully Partnering with Whistleblowers to Combat Ponzi Schemes Zuckerman Law
Jan
6
2022
 Post-SPAC Nikola Settles SEC Inquiry, Agrees to Pay $125 Million Proskauer Rose LLP
Mar
30
2021
 Post-SPAC Technology Company Hit with Securities Class Action Proskauer Rose LLP
Feb
1
2019
 Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210 Katten
Oct
19
2017
 Potential Adjustment to Dodd-Frank SIFI Threshold Jones Walker LLP
Aug
22
2013
 Potential Challenges Associated With California's Revised Uniform Limited Liability Company Act Scheduled to Take Effect on January 1, 2014 Sheppard, Mullin, Richter & Hampton LLP
Dec
23
2015
 Potential Changes to Disclosure Requirements for Publicly Traded Companies Polsinelli PC
Sep
25
2014
 Potential CPO (Commodity Pool Operator) and CTA (Commodity Trading Advisor) Registration Relief for Registered Investment Companies Vedder Price
Oct
13
2022
 Potential Delay of SEC Climate Disclosures Rule Due to Reopening of Comments Period to Address Technical Issue Mintz
Jul
21
2015
 Potential FCPA Landmines Selling EB-5 deals Abroad through Intermediaries Mintz
Sep
2
2020
 Potential Impacts of the Newly Expanded Definition of “Accredited Investor” Polsinelli PC
Jan
7
2016
 Potential Revisions to the Definition of “Accredited Investor” Sheppard, Mullin, Richter & Hampton LLP
Jun
16
2023
 PRA Enforcement Changes - the Good, the Bad, and the Ugly K&L Gates
Sep
22
2022
 Practical Considerations for New Pay vs. Performance Disclosure Requirement Proskauer Rose LLP
May
2
2013
 Practical Discussion Of Issues And Effective Strategies For Internal Investigations Sills Cummis & Gross P.C.
Mar
19
2015
 Pre-Emption Group Makes Important Changes to Pre-Emption Principles re: UK Incorporated Companies Squire Patton Boggs (US) LLP
Jun
24
2014
 Pre-Filing Consultation of SEC Staff Regarding Venezuela Operations May Be Appropriate in Certain Circumstances Morgan, Lewis & Bockius LLP
Dec
23
2015
 Preemption Of Secondary Trading Is Fast Becoming More Obscure re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
20
2012
 Preparation for 2011 Fiscal Year SEC Filings and 2012 Annual Shareholder Meetings Mintz
Feb
25
2013
 Preparation for 2012 Fiscal Year-End Securities and Exchange Commission (SEC) Filings and 2013 Annual Shareholder Meetings Mintz
Feb
5
2014
 Preparation for 2013 Fiscal Year-End SEC Filings and 2014 Annual Shareholder Meetings Mintz
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