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
May
19
2023
 SEC No-Action Letters on Proxy Materials and Other Developments Reinforce Commission-Wide Commitment to ESG Katten
May
18
2023
 Regulators’ Increased Focus on GP-Led Secondaries and Continuation Funds Proskauer Rose LLP
May
18
2023
 FINRA Facts and Trends: May 2023 Bracewell LLP
May
18
2023
 Supreme Court Ruling Questions Constitutionality of FTC’s and SEC’s Administrative Adjudications Processes—Is OSHA Next? Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
May
18
2023
 SEC Adopts New Share Repurchase Disclosure Rules Mintz
May
18
2023
 Are Syndicated Term Loans Securities Under Reves v. Ernst & Young? 2nd Circuit Solicits SEC Views Greenberg Traurig, LLP
May
18
2023
 U.S. Executive Branch Update – May 18, 2023 Squire Patton Boggs (US) LLP
May
17
2023
 Weekly Bankruptcy Alert May 17, 2023 for the week ending May 14, 2023 Pierce Atwood LLP
May
17
2023
 IRC Section 2701 and Gifts of Carried Interests Blank Rome LLP
May
17
2023
 Rule 10b5-1 Application and Enforcement Squire Patton Boggs (US) LLP
May
17
2023
 DFPI, CFTC And Hawaii DCCA/SEB File Suit Against Precious Metals Dealer Allen Matkins Leck Gamble Mallory & Natsis LLP
May
17
2023
 AUSTRALIA: ASIC Releases Report on Recent Greenwashing Actions K&L Gates
May
17
2023
 Greenwashing Pressures Step Up in U.S. and E.U. CMBG3 Law
May
16
2023
 SEC Charges Two Broker-Dealers with Record Retention Violations K&L Gates
May
16
2023
 U.S. Executive Branch Update – May 16, 2023 Squire Patton Boggs (US) LLP
May
16
2023
 Pricing Service? SEC Bends the Law to Sanction Valuer of Fixed Income Securities Norris McLaughlin P.A.
May
15
2023
 Australia: ASIC Revises Its IDR Reporting Framework. Are You Ready? K&L Gates
May
15
2023
 Hot Antitrust Enforcement Climate Reaches Private Equity Sheppard, Mullin, Richter & Hampton LLP
May
15
2023
 Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity Katten
May
15
2023
 New York Attorney General Proposes Crypto Regulation, Protection, Transparency, and Oversight (CRPTO) Act Hunton Andrews Kurth
May
15
2023
 IRS Gets Its Act Together For Forfeiture Rules Jackson Lewis P.C.
May
14
2023
 SEC Adopts Final Rules Regarding Share Repurchase Disclosure Foley & Lardner LLP
May
14
2023
 FDIC Proposes Special Deposit Insurance Assessment After Systemic Risk Exception Cadwalader, Wickersham & Taft LLP
May
14
2023
 Enhancing Disclosure Requirements for Derivatives Cadwalader, Wickersham & Taft LLP
May
14
2023
 UK’s Prudential Regulation Authority Publishes Annual Business Plan Cadwalader, Wickersham & Taft LLP
May
13
2023
 SEC Amends Form PF, Increasing Disclosure Obligations for Private Fund Advisors ArentFox Schiff LLP
May
13
2023
 SEC Requires New Disclosures in Periodic Reports on Share Repurchases McDermott Will & Emery
May
13
2023
 The SEC Significantly Expands the Scope of Form PF Reporting K&L Gates
May
12
2023
 U.S DOL Offers Some Good News for Smaller Businesses with 401(K) Plans Blank Rome LLP
May
10
2023
 Weekly Bankruptcy Alert May 8, 2023 For the week ending May 7, 2023 Pierce Atwood LLP
May
10
2023
 Sync Or Swim: Navigating the Legal Waters of Synchronized Trades in India Nishith Desai Associates
May
10
2023
 Proposed SEC Climate Disclosure Rule Potentially Delayed Until Fall 2023 Mintz
May
9
2023
 DFPI Issues Self-Assessment Of Its Oversight And Regulation of Silicon Valley Bank Allen Matkins Leck Gamble Mallory & Natsis LLP
May
8
2023
 Australia: ASIC Reports on DDO Compliance by Investment Product Issuers K&L Gates
May
7
2023
 CFPB Issues Guidance to Protect Homeowners from Zombie Mortgages Sheppard, Mullin, Richter & Hampton LLP
May
7
2023
 SEC Adopts New Repurchase Disclosure Rules Bracewell LLP
May
5
2023
 SEC Announces Record-Shattering $279 Million Award to Whistleblower Proskauer Rose LLP
May
5
2023
 More Companies Are Transferring Ownership To Indian Entities Bracewell LLP
May
5
2023
 California Greenhouse Gas Emissions Bill Advances Despite Substantial Opposition And Constitutional Concerns Allen Matkins Leck Gamble Mallory & Natsis LLP
May
4
2023
 Florida Senate Passes Legislation Impacting ESG Initiatives of Financial Businesses Operating in Florida Greenberg Traurig, LLP
May
3
2023
 U.S. Executive Branch Update – May 3, 2023 Squire Patton Boggs (US) LLP
May
3
2023
 Australia: Why You Should (Or Shouldn’t) Use a CCIV K&L Gates
May
3
2023
 U.S. Supreme Court Rules on Section 363(M) Of Bankruptcy Code, Potentially Reveals View on Equitable Mootness Barnes & Thornburg LLP
May
2
2023
 Eight Key Amendments of the 2022 ICSID Arbitration Rules Bracewell LLP
May
2
2023
 A Whistleblower’s Guide to Reporting on Crypto Kohn, Kohn & Colapinto
May
2
2023
 SLGS Window Closing May 2, 2023 Bracewell LLP
May
2
2023
 It’s Not Just the NLRB Watching You – NLRB Adds the Consumer Financial Protection Bureau to Its Ever Growing List of Interagency Collaborations Sheppard, Mullin, Richter & Hampton LLP
May
2
2023
 FRB, FDIC Deliver Reports and Take Some Blame on Silicon Valley Bank and Signature Bank Failures; More Regulation Ahead K&L Gates
May
1
2023
 Underwater Investment: SEC Sues Hawaiian Semisubmersible Company for Offering Fraud Norris McLaughlin P.A.
May
1
2023
 United States: SEC Staff Finds Safeguarding Policies and Procedures Lacking at Branch Offices K&L Gates
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