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
23
2021
 Log4J: Enforcement Risk for Public Companies McDermott Will & Emery
Dec
23
2021
 Does Anybody Really Know When Form SR Will Be Due? Does Anybody Really Care (Care About Time)? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
23
2021
 Governance Of AIFS: In Contrast with Corporate Governance Nishith Desai Associates
Dec
23
2021
 SEC Rejects Listing of Two Bitcoin ETFs Cadwalader, Wickersham & Taft LLP
Dec
22
2021
 SEC Adopts New Rules Requiring Universal Proxy Cards in Contested Director Elections Foley & Lardner LLP
Dec
22
2021
 SEC Proposes Amendments to Rule 10b5-1 Plans and Increased Disclosure About Insider Trading Policies Katten
Dec
22
2021
 SEC Proposes Large Security-Based Swaps Position Reporting Rules Proskauer Rose LLP
Dec
22
2021
 SEC Proposes Amendments to the Requirements of Rule 10b5-1 Trading Plans Barnes & Thornburg LLP
Dec
22
2021
 Court Rules "Thoughtful," "Disciplined," and "Dynamic" Are But Short Blasts Of Wind Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
22
2021
 SEC Proposes New Rules for Share Repurchases and Rule 10b5-1 and Insider Trading Matters Womble Bond Dickinson (US) LLP
Dec
22
2021
 SEC Committee Recommends Firms Improve Form CRS Disclosures Cadwalader, Wickersham & Taft LLP
Dec
21
2021
 SEC and DOJ Bring Parallel Civil and Criminal Charges Against Five Russians for $82 Million Hack-And-Trade Scheme Winstead
Dec
21
2021
 The Latest News Affecting the Capital Markets Nelson Mullins
Dec
20
2021
 SEC Commissioner Crenshaw Voices Additional Support for ESG Disclosures Mintz
Dec
17
2021
 SEC Proposes Another Round of Money Market Reforms K&L Gates
Dec
17
2021
 SEC Sets the Table for Stricter Rule 10 B5-1 Insider Trading Plans and Enhanced Disclosures for Company Repurchases McDermott Will & Emery
Dec
17
2021
 SEC Seeks to Fix “Cracks” in Rule 10b5-1 Nelson Mullins
Dec
17
2021
 FINRA Extends Temporary Relief for FINRA Staff from Certain Procedural Requirements Cadwalader, Wickersham & Taft LLP
Dec
17
2021
 SEC Awards Over $900,000 to Whistleblower Kohn, Kohn & Colapinto
Dec
17
2021
 SDNY: Confidentiality Agreement Impeded Investors from Whistleblowing Proskauer Rose LLP
Dec
17
2021
 Implementation of EU Whistleblowing Directive: Where Are We Now? Squire Patton Boggs (US) LLP
Dec
17
2021
 SEC Commissioner Pierce Criticizes ESG Regulations Mintz
Dec
17
2021
 SEC Runs Away From Its Staff's Response To Congress Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
17
2021
 SEC Names Chief Administrative Law Judge Cadwalader, Wickersham & Taft LLP
Dec
17
2021
 CAT Participants Withdraw Revised Funding Model Proposal Cadwalader, Wickersham & Taft LLP
Dec
17
2021
 Firm Settles SEC and CFTC Recordkeeping Violations from Use of Personal Communications Cadwalader, Wickersham & Taft LLP
Dec
17
2021
 GAO Identifies Deficiencies in SEC Oversight of FINRA Cadwalader, Wickersham & Taft LLP
Dec
16
2021
 New Enforcement Director Outlines Priorities for “Robust” Enforcement at SEC Cadwalader, Wickersham & Taft LLP
Dec
16
2021
 Why Does The SEC Staff Forbid Accurate Statements? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2021
 Biggest Stories of 2021 Bracewell LLP
Dec
15
2021
 Generic ESG Statements Remain Under Fire: Class Certification Granted for the Third Time as the Saga of the Goldman Sachs Securities Litigation Continues Bracewell LLP
Dec
14
2021
 Firms Settle FINRA Charges for Supervisory Violations on UIT Rollovers Cadwalader, Wickersham & Taft LLP
Dec
14
2021
 SEC Returns to Individual Written Response Policy for Proxy Requests Cadwalader, Wickersham & Taft LLP
Dec
14
2021
 Robo-adviser Risk Alert: Observations from Examinations of Advisers that Provide Electronic Investment Advice Polsinelli PC
Dec
14
2021
 SEC Commissioner Peirce Advocates for Longer Rulemaking Comment Periods Cadwalader, Wickersham & Taft LLP
Dec
14
2021
 SEC Commissioners Peirce and Roisman Criticize Chair Gensler's Regulatory Agenda Cadwalader, Wickersham & Taft LLP
Dec
14
2021
 Gensler Speaks Out on SPACs, Notes Similarities with Traditional IPOs and Hints at Future SEC Action Proskauer Rose LLP
Dec
14
2021
 New Laws For A New Year Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
13
2021
 Godot Is Still Waiting . . . Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
11
2021
 SEC's Acting Chief Accountant Emphasizes Significance of Climate Disclosures Mintz
Dec
10
2021
 “Who Are You”: US SEC Identifies Unregistered Soliciting Entities Norris McLaughlin P.A.
Dec
10
2021
 New SEBI Rules for AIF LPS to Co-Invest Nishith Desai Associates
Dec
9
2021
 Whistleblowers Key to Combating Cryptocurrency Fraud Kohn, Kohn & Colapinto
Dec
8
2021
 Government Enforcement and Investigations Year-In-Review: The Administration Has Moved Its Pieces into Place Bracewell LLP
Dec
8
2021
 SEC Issues Statement on LIBOR Transition - Key Considerations Cadwalader, Wickersham & Taft LLP
Dec
8
2021
 Securities Litigation Update: Second Circuit Opines on Pleading Standards and Statutory Standing for Claims Under Section 10(b) of the Securities Exchange Act of 1934 Cadwalader, Wickersham & Taft LLP
Dec
7
2021
 Key Takeaways: CFTC's FY 2021 Swap Dealers Enforcement Actions Katten
Dec
7
2021
 Whistleblower Receives Nearly $5 Million for Helping SEC Return Millions to Harmed Investors Kohn, Kohn & Colapinto
Dec
7
2021
 Does A Statutory Fine Constitute A "Threat"? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
6
2021
 SEC Approves PCAOB Rule Governing Determinations Under the Holding Foreign Companies Accountable Act Miller Canfield
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins