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
Jul
13
2012
 SEC Finalizes Dodd-Frank Independence Rules Under Section 952 McDermott Will & Emery
Oct
18
2017
 Capital Markets & Public Companies Quarterly: Capital Formation, Dividend Notice and Pay Ratio Q3 Updates McDermott Will & Emery
Jun
16
2023
 Deadlines for The Adoption of Clawback Policies Extended McDermott Will & Emery
Mar
13
2020
 Securities Law: COVID-19 Risk Factor Disclosures in ASC Offerings McDermott Will & Emery
Oct
14
2014
 You’ve Acquired a New Qualified Retirement Plan? Time for a Compliance Check McDermott Will & Emery
Jun
10
2020
 Can a Virtual Currency Position Be Treated as a Commodity for Tax Purposes? McDermott Will & Emery
Mar
12
2021
 SEC’S Regulation FD Action Highlights Risks Associated with Private Calls to Analysis McDermott Will & Emery
Jul
15
2015
 Critical Factors in Handling Italian Transfer Pricing Controversies McDermott Will & Emery
May
23
2016
 SEC Reins in Use of Non-GAAP Financial Measures with New Guidance McDermott Will & Emery
Jun
25
2011
 Worth Taking Notice: Whistleblower Rules Regarding Auditing Firms McDermott Will & Emery
Sep
24
2011
 SEC Adopts Final Definition of “Family Offices” Exempt From Investment Advisers Act McDermott Will & Emery
Feb
15
2012
 High Court of England and Wales Rules Emissions Allowances to be Treated as Property McDermott Will & Emery
Apr
12
2012
 PBGC Announces New Enforcement Approach that Reduces Impact of ERISA Section 4062(e) on Financially Sound Employers McDermott Will & Emery
Nov
22
2012
 U.S. Government Issues Guidance on Foreign Corrupt Practices Act McDermott Will & Emery
Dec
7
2012
 Worthless Stock Deductions: Valuation, Transfer Pricing and Technical Considerations McDermott Will & Emery
Mar
1
2013
 Supreme Court Rules Securities and Exchange Commission (SEC) Has Five Years to Seek Penalties McDermott Will & Emery
Mar
22
2013
 What You Need to Know About Foreign Account Tax Compliance Act's (FATCA) Impact on Non-U.S. Retirement Plans McDermott Will & Emery
Jun
10
2023
 Proposed Legislation Would Allow 403(B) Plans to Invest In Lower-Cost Collective Investment Trusts McDermott Will & Emery
Aug
22
2013
 Key Considerations For Family Enterprises Exiting Direct Investments McDermott Will & Emery
Apr
16
2019
 Capital Markets & Public Companies Quarterly: SEC Modernization and Simplification Amendments, Guidance Regarding Board Diversity Disclosure, and Updates at NASDAQ and NYSE McDermott Will & Emery
Sep
22
2023
 Baker’s Dozen: Delaware Becomes 13th State to Enact State Consumer Privacy Law McDermott Will & Emery
Jan
24
2020
 Court of Chancery Expands Stockholder Right to Corporate Books and Records McDermott Will & Emery
Mar
15
2024
 SEC Adopts Climate-Related Risk Disclosure Rules: What Public Companies, Executives and Investors Need to Know McDermott Will & Emery
Oct
15
2014
 Managing Compliance Risks in M&A Transactions McDermott Will & Emery
Nov
11
2014
 Extraordinary Turnout and Discussions at ULC (Uniform Law Commission) Unclaimed Property Drafting Meeting McDermott Will & Emery
Feb
3
2022
 SEC Survives Initial Challenge in First Enforcement Action Alleging ‘Shadow Trading’ McDermott Will & Emery
Apr
1
2022
 Climate Change Regulatory Update for US Insurers McDermott Will & Emery
Apr
23
2016
 New Rules Impacting Disclosure, Governance and Capital Raising Efforts McDermott Will & Emery
May
6
2022
 NAIC Continues to Refine Multiyear Work Plan to Expand Scrutiny of Holding Company Act Filings McDermott Will & Emery
Jul
13
2011
 Trade Associations Express Concern over Risks of Diverging EU and US Derivatives Regulation McDermott Will & Emery
Jul
30
2011
 Clarification on Requirements for Dividend-Withholding Tax Reimbursements in Italy McDermott Will & Emery
Feb
16
2012
 DOL Issues Electronic Guidelines for New 2012 Participant Investment and Fee Disclosures McDermott Will & Emery
Apr
15
2012
 Newly Enacted JOBS Legislation Should Encourage Initial Public Offerings McDermott Will & Emery
Jun
23
2012
 Sixth Circuit Requires a Net Loss to Sue in Certain ERISA Stock-Drop Cases McDermott Will & Emery
Dec
8
2012
 Suddenly It’s Southeast Asia McDermott Will & Emery
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