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
26
2018
 SEC Issues New Cybersecurity Disclosure Guidance for Public Companies Murtha Cullina
Feb
8
2015
 SEC Issues New Debt Tender Offer Guidance Katten
Mar
16
2020
 SEC Issues New Exemptive Order in Response to COVID-19 Vedder Price
Feb
11
2019
 SEC Issues New Guidance on Diversity Disclosure Requirements Sheppard, Mullin, Richter & Hampton LLP
Nov
9
2017
 SEC Issues New Guidance on Shareholder Proposals Foley & Lardner LLP
May
20
2016
 SEC Issues New Guidance on the Use of Non-GAAP Financial Measures Bracewell LLP
Aug
23
2019
 SEC Issues New Guidance Regarding Proxy Voting Responsibility of Investment Advisers and the Applicability of Proxy Rules to Proxy Voting Advice Katten
May
17
2022
 SEC Issues New Guidance Regarding Russia Sanctions and Public Company Disclosures Proskauer Rose LLP
Feb
11
2020
 SEC Issues New MD&A Guidance and Proposes to Amend Disclosure Rules Regarding Selected Financial Data, Supplementary Financial Data, and MD&A Bracewell LLP
Jul
15
2020
 SEC Issues New MD&A Guidance Regarding COVID-19 Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2020
 SEC Issues New Risk Alert on “Credential Stuffing” Attacks Faegre Drinker
Apr
2
2017
 SEC Issues New Sources of Custody Rule Guidance Proskauer Rose LLP
Nov
30
2018
 SEC Issues New Strategic Plan for Fiscal Years 2018–2022 Vedder Price
Mar
12
2021
 SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption Katten
Feb
18
2012
 SEC Issues No-Action Letter Clarifying Position with Respect to Registration Requirements of Special Purpose Vehicles and Affiliated Investment Advisers Faegre Drinker
Oct
8
2020
 SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets Greenberg Traurig, LLP
May
2
2016
 SEC Issues No-Action Letter on Custody Rule Greenberg Traurig, LLP
Aug
13
2015
 SEC Issues No-Action Letter Permitting a Fund-of-Funds to Invest in Assets that May Not Be Deemed Securities Vedder Price
Jan
15
2021
 SEC Issues No-Action Letter Regarding Institutional Family Offices Katten
Feb
19
2016
 SEC Issues No-Action Letters With Respect to Rule 14a-8(i)(10) Katten
Mar
25
2016
 SEC Issues No-Action Relief Pursuant to Rule 14a-8(i)(9) Katten
Mar
9
2014
 SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments - Securities and Exchange Commission Katten
Feb
29
2020
 SEC Issues Notice of Intention to Grant Exemption from Board’s In-Person Meeting Requirement to Approve Sub-Advisory Agreements Vedder Price
Nov
1
2019
 SEC Issues Order Instituting Proceedings Regarding CBOE’s Proposed Rule Change on Off-Floor Position Transfers Katten
Oct
15
2021
 SEC Issues Over $40 Million in Whistleblower Awards Kohn, Kohn & Colapinto
Nov
21
2016
 SEC Issues Pay Ratio Disclosure Guidance Hunton Andrews Kurth
Apr
18
2019
 SEC Issues Privacy and Data Security Risk Alert Jackson Lewis P.C.
May
6
2022
 SEC Issues Proposal for Enhanced and Standardized Climate-Related Disclosure Vedder Price
Apr
20
2017
 SEC Issues Proposal Requiring Use of Inline XBRL Format for Mutual Fund Risk/Return Summaries Vedder Price
Feb
11
2022
 SEC Issues Proposed Cyber Rule, Including 48-Hour Breach Reporting Requirement Greenberg Traurig, LLP
Mar
22
2022
 SEC Issues Proposed Regulation on Mandatory Climate Disclosures Mintz
Aug
26
2019
 SEC Issues Proposed Regulations that Aim to Modernize and Streamline Disclosures Required Under Regulation S-K ArentFox Schiff LLP
Mar
23
2022
 SEC Issues Proposed Rules on Climate-Related Disclosures Beveridge & Diamond PC
Mar
23
2022
 SEC Issues Proposed Rules Requiring Climate-Related Disclosures in Registration Statements and Periodic Filings Bradley Arant Boult Cummings LLP
Dec
13
2016
 SEC Issues Proposed Rules Requiring Use of Universal Proxy Giordano, Halleran & Ciesla, P.C.
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