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
Apr
2
2020
 SEC Guidance on COVID-19 Disclosures for Healthcare Providers Sheppard, Mullin, Richter & Hampton LLP
Aug
5
2015
 SEC Guidance on Dodd-Frank Whistleblower Protection is a Win for Whistleblowers Zuckerman Law
Apr
18
2019
 SEC Guidance on Exhibit Redactions For Immaterial, Competitively Harmful Information Greenberg Traurig, LLP
Feb
26
2020
 SEC Guidance on Key Performance Indicators and Metrics in MD&A and Three New MD&A C&DIs Mintz
Mar
2
2017
 SEC guidance on roboadvice K&L Gates
Aug
30
2019
 SEC Guidance Will Impact Roles of Proxy Advisers and Investment Advisers in Proxy Context Womble Bond Dickinson (US) LLP
Apr
13
2020
 SEC Guidance: Public Statements of Municipal Issuers Subject to Antifraud Provisions Dinsmore & Shohl LLP
Nov
12
2021
 SEC Halts DAO’s Registration of Two Stable Tokens as Securities, Alleging Material Deficiencies in the Disclosure Proskauer Rose LLP
Nov
10
2021
 SEC Halts Registration of Two Digital Tokens Cadwalader, Wickersham & Taft LLP
Nov
21
2016
 SEC Hands Out Millions While Leaving Public In Dark Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
1
2020
 SEC Harmonizes and Improves Exempt Offering Framework Godfrey & Kahn S.C.
Nov
12
2020
 SEC Harmonizes and Improves “Patchwork” Private Offering Framework Mintz
Feb
11
2015
 SEC Hedging Disclosure Proposal Could Cause Companies To Review Trading Policies Covington & Burling LLP
Aug
31
2020
 SEC Highlights COVID-Related Risks Facing Broker-Dealers and Investment Advisers Barnes & Thornburg LLP
Nov
23
2022
 SEC Highlights ESG Enforcement Activity in Annual Report Mintz
Nov
19
2021
 SEC Highlights Spike in Whistleblower Tips in Fiscal Year 2021 Cadwalader, Wickersham & Taft LLP
Aug
18
2022
 SEC Hints at Path for Digital Assets to Morph Into Non-Securities Polsinelli PC
Jan
11
2018
 SEC Holding Inaugural Meeting of Fixed Income Market Structure Advisory Committee Jones Walker LLP
Jul
14
2020
 SEC Hosts Roundtable to Discuss Risks Associated With U.S.-Listed Chinese Companies Barnes & Thornburg LLP
Oct
12
2020
 SEC Human Capital Reporting Rules Take Effect Hunton Andrews Kurth
Apr
8
2022
 SEC Identifies 2022 Examination Priorities Nelson Mullins
Feb
9
2023
 SEC Imposes Staggering $35 Million Fine on Company for Paying Lip Service to Internal Compliance Procedures Epstein Becker & Green, P.C.
Oct
7
2014
 SEC Includes Valuation Guidance in Money Market Fund Rule Release Vedder Price
Jun
22
2021
 SEC Increases Advisers Act Qualified Client Thresholds Proskauer Rose LLP
Jul
15
2016
 SEC Increases Dollar Amount of the Net Worth Threshold Test for “Qualified Clients” in Rule 205-3 Under the Investment Advisers Act of 1940 Katten
Aug
16
2021
 SEC Increases Financial Thresholds for Qualified Clients Winstead
May
13
2016
 SEC Increases Focus on Private Equity Enforcement Proskauer Rose LLP
Aug
9
2016
 SEC Increases Performance Fee Net Worth Threshold for Qualified Clients Neal, Gerber & Eisenberg LLP
Aug
13
2021
 SEC Increases Registered Investment Adviser Performance Compensation Net-Worth and Assets-Under-Management Tests Katten
Sep
2
2016
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 Katten
Aug
25
2017
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2018 Katten
Aug
30
2019
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2020 Katten
Aug
23
2021
 SEC Increases the "Qualified Client" Net Worth and Assets Under Management Thresholds K&L Gates
Feb
18
2020
 SEC Indicates it Will Not Modify Climate Change Disclosure Criteria ArentFox Schiff LLP
Jul
24
2019
 SEC Interpretation Offers Clarification on an Investment Adviser’s Duties of Care and Loyalty Faegre Drinker
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