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
Sep
24
2014
 CFTC Relief from Provisions of Rules 4.7(b) and 4.13(a)(3) to Harmonize with JOBS Act Amendments to Rule 506(c) and Rule 144A Vedder Price
May
8
2020
 Form CRS Update – OCIE Risk Alert on Initial Examinations Vedder Price
Jul
6
2020
 SEC Chairman Confirms June 30 Compliance Date for Regulation Best Interest and Form CRS Vedder Price
Dec
8
2014
 Director of the Division of Investment Management Discusses Alternative Mutual Fund Disclosures Vedder Price
Sep
9
2020
 SEC Announces New Event and Emerging Risks Examination Vedder Price
Oct
13
2020
 SEC Issues Statement in Response to the Report of the President’s Working Group on Financial Markets Vedder Price
Nov
11
2020
 SEC Settles Enforcement Proceeding Without Imposing a Penalty Against Adviser That Self-Reported Alleged Expense Waiver Misrepresentations Vedder Price
Apr
19
2021
 SEC Staff No-Action Letter Permits Funds to Self-Custody Certain Loan Interests Vedder Price
Aug
11
2015
 SEC Brings First Whistleblower Enforcement Action Involving Employee Confidentiality Agreements Vedder Price
Jul
12
2021
 Order Management System’s SEC Settlement Leaves More Questions Than Answers on What Constitutes “Broker” Activity Vedder Price
Nov
16
2021
 SEC Issues Risk Alert on Investment Advisers that Provide Electronic Investment Advice Vedder Price
Nov
19
2021
 Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies Vedder Price
Dec
1
2015
 SEC Seeks to 'Modernize' Its Internal Courts through Proposed Rule Amendments Vedder Price
Jan
12
2016
 SEC Settles with Investment Adviser over 2015 False Performance Claims Vedder Price
Mar
8
2016
 SEC Settles Charges against Wealth Management Businesses for Failing to Disclose Conflicts of Interest Arising from Preferences for Proprietary Funds. Vedder Price
Apr
13
2022
 SEC Proposes Short Sale Data Reporting by Institutional Investment Managers Vedder Price
May
19
2016
 SEC Staff No-Action Letter Permits Index ETF to Exceed 1940 Act Limits on Investments in Insurance Companies and Securities Related Issuers Vedder Price
May
5
2022
 SEC BlockFi Settlement Signals Crypto Lending Platforms to Comply with Federal Securities Law Vedder Price
Jul
21
2016
 Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds Vedder Price
May
15
2010
 Collateralization of Swap Obligations in Leveraged Financings Vedder Price
Jun
10
2022
 SEC Proposes Amendments to Fund Names Rule Vedder Price
Nov
20
2017
 SEC Proposes Rules to Implement FAST Act Mandate Vedder Price
Jan
19
2018
 Division of Investment Management Staff Issues Liquidity Risk Management Program FAQs Vedder Price
Jul
23
2018
 SEC Proposes New Rule to Permit Certain ETFs to Operate Without an Exemptive Order Vedder Price
Sep
25
2018
 Adviser Settles SEC Administrative Proceeding Regarding Alleged Failure to Safeguard Retail Investor Assets Vedder Price
Nov
30
2018
 Insurance Companies Obtain Relief to Use Statutory Financial Statements in Registration Statements Filed on Form S-1 for Certain Insurance Products Vedder Price
Oct
8
2013
 Commodity Futures Trading Commission (CFTC) Adopts Harmonization Rules For Commodity Pool Operators (CPOs) to Registered Investment Companies (RICs) and Modifies Regulatory Requirements for All CPOs and CTAs Vedder Price
Feb
10
2014
 Division of Investment Management Issues Guidance Regarding Risk Management for Fixed Income Funds Vedder Price
Oct
3
2019
 SEC Charges Two Advisers with Fiduciary Duty Breaches for Failing to Disclose Conflicts of Interest relating to the Receipt of Compensation from Client Investments in Mutual Funds Vedder Price
May
9
2014
 Securities and Exchange Commission (SEC) Charges Investment Adviser for Undisclosed Revenue Sharing Agreements Vedder Price
Jan
29
2020
 SEC Proposes Amendments to Auditor Independence Rules Vedder Price
Jul
11
2014
 CFTC Staff Announces Expedited No-Action Relief for CPO (Commodity Pool Operators) Delegation Vedder Price
Sep
9
2014
 SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades Vedder Price
Apr
29
2020
 Market Volatility and Impact on Enforcement Activity Vedder Price
Oct
7
2014
 SEC Settles Charges Against Barclays Capital for Compliance Failures After Acquisition of Lehman’s Advisory Business Vedder Price
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