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
12
2015
 Division of Investment Management Releases Money Market Fund Reform FAQs Vedder Price
Jun
1
2021
 SEC Staff Reaffirms Guidance for Conducting Shareholder Meetings during Pandemic Vedder Price
Aug
13
2015
 SEC Settles Charges Against Auditor, Fund Administrator and Trustee in Connection with Auditor-Trustee Relationship Vedder Price
Sep
8
2021
 SEC Office of the Investor Advocate Issues Annual Report on Objectives for 2022 Fiscal Year Vedder Price
Nov
19
2021
 SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products Vedder Price
Jan
12
2016
 SEC Proposes New Exemptive Rule Governing Funds’ Use of Derivatives Vedder Price
Feb
11
2022
 SEC Chair's Remarks Suggest Heightened Regulatory Scrutiny of Private Funds Vedder Price
Feb
9
2016
 Sivolella 36(b) Excessive Fee Case: First to Trial Since 2009 Vedder Price
Apr
19
2022
 SEC Charges Investment Adviser's Former CIO and Founder in Connection with Fraudulently Overvaluing Assets Vedder Price
May
6
2022
 SEC Investigations Relating to Record Preservation Practices Likely to Continue Vedder Price
Apr
30
2012
 JOBS Act to Eliminate Prohibition against General Solicitation for Private Funds and Increase Investor Limit That Requires Exchange Act Registration Vedder Price
Aug
18
2017
 SEC Defers Action on Application to List “Managed Portfolio Shares,” a Type of Non-Transparent, Actively Managed ETF Vedder Price
Sep
23
2022
 PCAOB Signs Statement of Protocol on Inspections and Investigations of Chinaand Hong Kong-Based Audit Firms Vedder Price
Nov
20
2017
 SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II Vedder Price
Sep
24
2018
 Investment Services Regulatory Update - September 2018 Vedder Price
May
18
2012
 JOBS Act Serves to Assist Companies with Raising Capital and Jumpstarting the Job Market Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Sep
10
2013
 New Disclosure Guidance for Non-Traded Real Estate Investment Trusts (REITs) Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Oct
16
2013
 "Bad Boy" Associates Can Now Disqualify Your Securities Act 506 Exemption Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
7
2011
 Supreme Court Decision Limits Primary Rule 10b-5 Liability Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
30
2013
 The Securities and Exchange Commission (SEC) Proposes New Rules Addressing General Solicitation In Private Offerings Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
30
2013
 Securities and Exchange Commission (SEC) Lifts Ban on General Solicitations for Certain Private Placements Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Nov
13
2012
 2012 Year End Tax Planning Alert Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
27
2023
 What Once Was Old Is New Again: DOJ and FTC Issue Draft New Merger Guidelines Bracewell LLP
Sep
28
2023
 FINRA Facts and Trends: September 2023 Bracewell LLP
Jun
25
2020
 The Supreme Court Affirms, but Limits, the SEC's Disgorgement Power Bracewell LLP
Jan
6
2021
 ESG Investing and Retirement Plans Bracewell LLP
Apr
8
2021
 SEC Creates Climate Change and ESG Website to Act as Central Hub for Agency Action and Information Bracewell LLP
Oct
28
2021
 What's Under the Canoe? Bracewell LLP
Dec
8
2021
 Government Enforcement and Investigations Year-In-Review: The Administration Has Moved Its Pieces into Place Bracewell LLP
Apr
12
2022
 Attestation: Practical Reflections on What the SEC Climate Proposal Will Require Bracewell LLP
Jul
25
2016
 Proposed Rule Relates to Investment Advisers' Business Continuity and Transition Plans Bracewell LLP
Feb
22
2017
 President Trump Signs Repeal of SEC's Extraction Payment Disclosure Rule Bracewell LLP
Jan
30
2012
 Section 550 of the Bankruptcy Code Won’t Cap the Flow of Avoidance Action Liability Bracewell LLP
Mar
1
2012
 Tax-Exempt Financing Opportunity for Private Sector Borrowers (Hurricane Ike Bonds) Bracewell LLP
Aug
10
2017
 U.S. Futures Exchanges Disciplinary Actions Report - July 2017 Bracewell LLP
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