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
Dec
21
2022
 SEC Accused of Violating FOIA Deadlines for Documents on Improper Database Access Squire Patton Boggs (US) LLP
Dec
21
2022
 Who Can Be a Whistleblower? Tycko & Zavareei LLP
Dec
21
2022
 SEC Adopts Amendments to Rule 10b5-1 and Creates New Disclosure Requirements for Issuers and Insiders Jones Walker LLP
Dec
21
2022
 The SEC Raises the Bar for Insiders and Issuers Regarding Rule 10b5-1 Plans Dinsmore & Shohl LLP
Dec
21
2022
 New Executive Clawback Requirements Coming in 2023 Jones Walker LLP
Dec
20
2022
 SEC Adopts Amendments to Rule 10b5-1 Insider Trading Plans and Related Matters K&L Gates
Dec
20
2022
 SEC Releases Sample Letter to Companies Regarding Crypto Market Developments Nelson Mullins
Dec
19
2022
 SEC Adopts Final Rules Regarding 10b5-1 Trading Plans and Disclosure of Insider Trading Policies and Related Matters Foley & Lardner LLP
Dec
19
2022
 Cutting Corners: SEC Sues Surgical Implant Company for Disclosure AND Accounting Fraud Norris McLaughlin P.A.
Dec
19
2022
 SEC Makes Claims But Provides No Data Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
17
2022
 Caremark Liability Following the SEC’s New ESG Reporting Requirements Mintz
Dec
16
2022
 United States: SEC Proposes Regulation Best Execution K&L Gates
Dec
16
2022
 US Executive Branch Update – December 16, 2022 Squire Patton Boggs (US) LLP
Dec
16
2022
 Rule 10b5-1 Amendments Adopted by the SEC Nelson Mullins
Dec
16
2022
 Commissioner Uyeda Warns Of Looming Item 402 Letter Deficit, But George Eliot Provides An Answer Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2022
 Staff Says Some Non-GAAP Financial Disclosures Are Beyond Redemptive Disclosure Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2022
 Proxy Season Greetings: ISS and Glass Lewis Announce Policy Updates Ahead of the 2023 Proxy Season Proskauer Rose LLP
Dec
15
2022
 SEC’s Division of Corporation Finance Heightens Expectations for Crypto Disclosures Cadwalader, Wickersham & Taft LLP
Dec
14
2022
 SEC and CFTC Whistleblower Programs Reveal Continued Success Combatting Fraud and Protecting Investors Zuckerman Law
Dec
14
2022
 Speak Out Act Takes Effect, Enhanced Data Privacy Obligations for California Employers, and SEC Releases Whistleblower Annual Report – Employment Law This Week [VIDEO] Epstein Becker & Green, P.C.
Dec
13
2022
 Considerations for Public Company Bylaw Amendments in View of the New SEC Universal Proxy Rules Greenberg Traurig, LLP
Dec
13
2022
 New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules Katten
Dec
13
2022
 SEC Reopens Proposal on Stock Buyback Rules Nelson Mullins
Dec
13
2022
 Energy & Sustainability Litigation Updates — December 2022 Mintz
Dec
13
2022
 Republican SEC Commissioners Continue to Criticize Proposed Climate Disclosures Mintz
Dec
12
2022
 SEC Awards More than $20 Million to Whistleblower Kohn, Kohn & Colapinto
Dec
12
2022
 'No Exit': SEC Sanctions Investment Adviser for Impeding University Investors from Departing a Private Fund Norris McLaughlin P.A.
Dec
11
2022
 Ex-Wall Street Trader Convicted of Fraud in Precious Metals Spoofing Scheme The U.S. Department of Justice
Dec
10
2022
 Are Loans Securities? Cadwalader, Wickersham & Taft LLP
Dec
10
2022
 Caution Advised for Language in Employment Settlement and Severance Agreements Jackson Lewis P.C.
Dec
9
2022
 SEC’s New Executive Compensation Clawback Rules To Become Effective In January 2023 – What That Means For Public Companies Barnes & Thornburg LLP
Dec
9
2022
 CFPB Takes Down High-Yield Savings Account Scam, Defendants Also Charged By the SEC Cadwalader, Wickersham & Taft LLP
Dec
9
2022
 SEC Releases FY 2022 Whistleblower Annual Report Proskauer Rose LLP
Dec
9
2022
 James Joyce Ineluctably Meets Cryptoassets Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
8
2022
 Now You See It, Now You Don’t: SEC’s Final Rule on Clawback Policies Dinsmore & Shohl LLP
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