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
Feb
15
2022
 Proposed SEC Rule Would Expand Private Fund Compliance Obligations, Investor Protections Barnes & Thornburg LLP
May
28
2012
 Proposed Small Business Innovation Research "SBIR" Rules Published – Planning for Changes to SBIR-Funded Company Investments Mintz
Feb
11
2011
 Proposed Treasury Regulations Expand the Definition of "Publicly Traded" Bracewell LLP
Mar
8
2016
 Proposed “Whistleblower Augmented Reward and Nonretaliation Act” Aims to Increase Protections for Financial Industry Whistleblowers Epstein Becker & Green, P.C.
Mar
16
2016
 Propriety of Constitutional Challenges to Agency Administrative Proceedings Discussed by Federal Regulators, and Supported by at Least One Greenberg Traurig, LLP
Oct
28
2013
 Pros and Cons of Using Employee Stock Ownership Plans (ESOPs) [AUDIO] Odin, Feldman & Pittleman, P.C.
Jan
9
2020
 Prosecutors Not Required to Prove Tipper Received “Personal Benefit” to be Convicted Under Criminal Insider Trading Statute Polsinelli PC
Nov
9
2015
 Prosecutors Record First-Ever Conviction for ‘Spoofing’: A New Era of Trading Enforcement Morgan, Lewis & Bockius LLP
Nov
29
2017
 Proskauer Private Investment Funds Group Releases Annual Review and Outlook Proskauer Rose LLP
May
22
2018
 Proskauer’s 2018 Global High-Yield Bond Study [Study Report] Proskauer Rose LLP
Mar
6
2013
 Protect Your CEO's Tweets and Posts from U.S. Securities Exchange Commission (SEC) Enforcement Action von Briesen & Roper, s.c.
Dec
21
2012
 Protect Your Valuable Brands McDermott Will & Emery
Aug
28
2017
 Protected Whistleblowing - Chapter 3 Zuckerman Law
Oct
11
2021
 Protections for Whistleblowers Who Share Company Documents Katz Banks Kumin LLP
May
26
2017
 Próximo Anunciamiento Del Nuevo Plan Federal De Infraestructuras Bilzin Sumberg
Sep
17
2010
 Proxy Access Notice Dates For 2011 Proxy Season Established Sheppard, Mullin, Richter & Hampton LLP
Jan
12
2015
 Proxy Access Proposal: ‘Tis A “Bootless Labour” To Ask The Staff To Appeal Its Own No-Action Advice Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
22
2016
 Proxy Access Shareholder Proposals: SEC Staff Responds to Requests to Exclude on “Substantially Implemented” Grounds Bracewell LLP
Nov
21
2023
 Proxy Advisory Firm Issues Guidance on Cyber Oversight and Disclosure Hunton Andrews Kurth
Sep
3
2013
 Proxy Advisory Firms And Investment Adviser Registration Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2016
 Proxy Advisory Firms in the Spotlight: Looking in the Crystal Ball Faegre Drinker
Nov
14
2014
 Proxy Advisory Firms Release Policy Updates for 2015 Katten
Sep
4
2013
 Proxy Advisory Firms – What About State Registration? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2022
 Proxy Season Greetings: ISS and Glass Lewis Announce Policy Updates Ahead of the 2023 Proxy Season Proskauer Rose LLP
Dec
30
2015
 Proxy Season Guide to 2016 re: Corporations and Securities Dinsmore & Shohl LLP
Mar
20
2014
 Proxy Season Litigation Primer: Defending Shareholder Suits to Enjoin Annual Meetings for Allegedly Inadequate Disclosures Concerning Equity Compensation Plans Mintz
Jun
26
2020
 Prudential Regulators Revise Initial Margin Rules for Uncleared Swaps Katten
Mar
2
2021
 Public Benefit Corporations are Going Public Mintz
Oct
27
2011
 Public Companies: SEC Issues Guidance on Cybersecurity Disclosures McDermott Will & Emery
Jul
9
2014
 Public Company Accounting Oversight Board (PCAOB) Adopts New Auditing Standard Regarding Related Party Transactions and Amends Other Auditing Standards Hunton Andrews Kurth
Mar
2
2023
 Public Company Accounting Oversight Board (PCAOB) Enforcement Activity: Actions By Year Finalized Cornerstone Research
Jul
22
2014
 Public Company Accounting Oversight Board (PCAOB) Focuses on Cybersecurity at Standing Advisory Group Meeting Morgan, Lewis & Bockius LLP
Oct
10
2013
 Public Company Accounting Oversight Board (PCAOB) Proposes Changes to the Auditor’s Reporting Model Vedder Price
Sep
17
2014
 Public Company Accounting Oversight Board (PCAOB) Urges Audit Committee Scrutiny of Revenue Recognition Morgan, Lewis & Bockius LLP
Sep
30
2014
 Public Company Accounting Oversight Board (PCAOB): Selected Auditing Developments Faegre Drinker
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins