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
24
2011
 SEC Extracts Fines, But Not Confessions Center for Public Integrity
Sep
16
2022
 SEC Eyes Further Crypto Regulation as Concerns over Conflicts of Interest Loom Proskauer Rose LLP
Oct
17
2014
 SEC Faces New Constitutional Challenge to Administrative Proceedings Based on Tenure Protection of Administrative Law Judges Faegre Drinker
Oct
1
2011
 SEC Fee Rate Adjustment for Section 6(B), Section 13(E) and Section 14(G) To Be Effective October 1, 2011 Sheppard, Mullin, Richter & Hampton LLP
Jun
7
2023
 SEC Files Desist & Refrain Order Against Coinbase Alleging Failure To Qualify Staking Rewards Program Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
24
2014
 SEC Files First Antiretaliation Enforcement Case Against Hedge Fund Advisory Firm Faegre Drinker
Aug
18
2017
 SEC Files Fraud Charges Against Registered Representatives in Connection with Investments by Federal Employees in Variable Annuities Vedder Price
Jan
14
2023
 SEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored Cyberattack Winstead
Nov
13
2019
 SEC Files Suit Against Company For Allegedly Impeding Investors From Blowing the Whistle Proskauer Rose LLP
Jun
2
2021
 SEC Files Suit Against Five Alleged Promoters of Crypto Lending Program Nelson Mullins
Mar
9
2017
 SEC Final Rules on Hyperlinking in Registration Statements: Link to the Past (and Present) Foley & Lardner LLP
Dec
3
2021
 SEC Finalizes Amendments to Implement Holding Foreign Companies Accountable Act Requirements Cadwalader, Wickersham & Taft LLP
Sep
25
2020
 SEC Finalizes Changes to the Requirements for Submission of Shareholder Proposals: Prepare for 2022 Proxy Season Jones Walker LLP
Aug
1
2023
 SEC Finalizes Cyber Rules for Public Companies: What You Need to Know Greenberg Traurig, LLP
Jul
28
2023
 SEC Finalizes Cybersecurity Rule: What It Means Epstein Becker & Green, P.C.
Jul
13
2012
 SEC Finalizes Dodd-Frank Independence Rules Under Section 952 McDermott Will & Emery
Nov
28
2022
 SEC Finalizes Expanded Proxy Voting Reporting and New Say-On-Pay Reporting Requirements K&L Gates
Oct
27
2022
 SEC Finalizes Major Changes to Shareholder Report Disclosure Scheme and Investment Company Advertisement Rules K&L Gates
Mar
8
2024
 SEC Finalizes Much-Anticipated Climate Disclosure Rules Katten
Aug
1
2023
 SEC Finalizes New Cybersecurity Incident Reporting Rules for Public Companies Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Aug
25
2023
 SEC Finalizes New Data Breach Reporting and Cybersecurity Disclosure Rules; NIST Releases Cybersecurity Framework 2.0 Keller and Heckman LLP
Aug
25
2023
 SEC Finalizes New Data Breach Reporting Rule; NIST Releases Cybersecurity Framework 2.0 Keller and Heckman LLP
Aug
7
2015
 SEC Finalizes Rule on Pay Ratio Disclosure Katten
Aug
7
2015
 SEC Finalizes Rules Regarding Disclosure of CEO Pay Ratio—What They Require, What to Do and What’s Next McDermott Will & Emery
Aug
7
2015
 SEC Finalizes the CEO Pay Ratio Rule – Additional Executive Compensation Disclosure for Public Companies Beginning in 2017 Mintz
Jan
5
2021
 SEC Finalizes Updates to Advertising and Cash Solicitation Rules Vedder Price
Nov
3
2015
 SEC Finally Adopts Final Rules on Crowdfunding Michael Best & Friedrich LLP
May
9
2016
 SEC Finally Approves FINRA's Watered-Down Recruitment Broker Bonus Disclosure Rule Polsinelli PC
Oct
30
2013
 SEC Finally Issues Proposed Rules on Crowdfunding Michael Best & Friedrich LLP
Mar
11
2021
 SEC Finally Posts Nasdaq's Proposed Amendments To Diversity Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
14
2015
 SEC Financial Reporting and Auditing Enforcement Review Holland & Hart LLP
Aug
18
2016
 SEC Finds Certain Separation Agreement Provisions Unlawful Under Dodd-Frank Whistleblower Rule Epstein Becker & Green, P.C.
Aug
12
2015
 SEC Finds Metadata Contradicts CCO’s Statement In Examination Proskauer Rose LLP
Oct
7
2016
 SEC Finds that Merrill Lynch Violated Rule 21F-17 But Notes Remediation Efforts Foley & Lardner LLP
Aug
25
2021
 SEC Fine Highlights Importance of Cybersecurity Disclosures Sheppard, Mullin, Richter & Hampton LLP
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