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
Aug
28
2021
 SEC Issues Awards for Independent Analysis, Rewards 200th Whistleblower Kohn, Kohn & Colapinto
Feb
8
2019
 SEC Issues C&DI on Disclosure of Self-Identified Director Diversity Characteristics Katten
Oct
19
2021
 SEC Issues Climate Change Disclosure Compliance Letters Robinson & Cole LLP
Mar
11
2024
 SEC Issues Climate Disclosure Rules Van Ness Feldman LLP
Mar
24
2022
 SEC Issues Climate-Related Risk Disclosure Rule Proposal K&L Gates
Mar
30
2016
 SEC Issues Compliance and Disclosure Interpretation on Proxy Card Descriptions Faegre Drinker
Feb
9
2016
 SEC Issues Concept Release Relating to the Role of Transfer Agents to Mutual Funds Vedder Price
Jul
13
2015
 SEC Issues Concept Release Requesting Input on Potential Audit Committee Disclosure Requirements Foley & Lardner LLP
Jun
27
2019
 SEC Issues Concept Release to Overhaul Current Framework for Exempt Offerings Greenberg Traurig, LLP
Apr
10
2018
 SEC Issues Cybersecurity Guidance, BlackRock and Gender Diversity, and News from the SEC and NYSE: Capital Markets & Public Companies Quarterly McDermott Will & Emery
Jun
2
2017
 SEC Issues Cybersecurity Risk Alert on Ransomware Faegre Drinker
Dec
25
2012
 SEC Issues Exemptive Order in Connection with Portfolio Margining of Cleared Swaps and Security-Based Swaps Katten
May
28
2020
 SEC Issues Fair Value Proposal Greenberg Traurig, LLP
Jan
25
2023
 SEC Issues FAQ With Additional Guidance On New Marketing Rule Barnes & Thornburg LLP
Nov
18
2019
 SEC Issues FAQs on Adviser Conflict Disclosure Practices Vedder Price
Jun
8
2013
 SEC Issues FAQs on Conflict Minerals and Payments by Resource Extraction Issuers Katten
May
6
2020
 SEC Issues FAQs Providing Guidance on the Conditional Relief from Filing Deadlines as a Result of Coronavirus (COVID-19) Mintz
May
11
2020
 SEC Issues FAQs Regarding COVID-19 Order Jones Walker LLP
Mar
31
2013
 SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers Katten
Oct
15
2015
 SEC Issues Final Rule for Removal of Certain References to Credit Ratings and Amends the Issuer Diversification Requirement in the Money Market Fund Rule Vedder Price
Nov
14
2016
 SEC Issues Final Rule On Investment Company Liquidity Risk Management ArentFox Schiff LLP
Nov
30
2016
 SEC Issues Final Rule On Investment Company Swing Pricing ArentFox Schiff LLP
Jul
31
2013
 SEC Issues Final Rules Eliminating Prohibition on General Solicitation of Regulation D Offerings and Implementing Bar on Regulation D Exemption for Offerings with Bad Actor Issuers or other Relevant Persons Neal, Gerber & Eisenberg LLP
Jul
10
2020
 SEC Issues Final Rules on Registered Investment Company and Business Development Company Acquisition and Financial Statement Disclosure Proskauer Rose LLP
Aug
29
2012
 SEC Issues Final Rules Requiring Issuers to Account for Use of Conflict Minerals McDermott Will & Emery
Jan
19
2016
 SEC Issues Fines for Pay-to-Play Violations That Predate Pay-to-Play Rule Covington & Burling LLP
Apr
8
2019
 Sec Issues First Cryptocurrency No-Action Letter – Where’s the Action? Mitchell Silberberg & Knupp LLP
Apr
30
2019
 SEC Issues First No Action Letter on Crypto Tokens Sheppard, Mullin, Richter & Hampton LLP
Jan
8
2021
 SEC Issues Five Whistleblower Awards Totaling Over $1.1 Million Kohn, Kohn & Colapinto
Jan
11
2022
 SEC Issues Four Whistleblower Awards Kohn, Kohn & Colapinto
Feb
9
2013
 SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the Jumpstart Our Business Startups "JOBS" Act Katten
Oct
5
2013
 SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel Katten
Mar
3
2014
 SEC Issues Guidance on Aggregate Advisory Fee Rates for Multi-Manager Funds - Securities and Exchange Commission Katten
Jul
18
2016
 SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies Faegre Drinker
Jan
17
2020
 SEC Issues Guidance on Confidential Treatment Applications and Intellectual Property and Technology Risks Katten
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