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
Oct
13
2020
 Remarks of Dalia Blass, Director of the SEC’s Division of Investment Management, at the SEC Regulation Think-In 2020 Conference Vedder Price
May
12
2015
 SEC Settles Charges Against Adviser and CCO for Providing Inaccurate and Incomplete Expense Allocation Methodology and Profitability Information to Fund Board in Connection with Contract Renewal Vedder Price
Apr
19
2021
 SEC Staff Seeks Industry Feedback on Cross Trade Practices Vedder Price
Aug
11
2015
 SEC Continues to Pursue Clawbacks under Sarbanes-Oxley and Issues Proposed Dodd-Frank Clawback Rules Vedder Price
Jun
30
2021
 SEC Raises Qualified Client Thresholds Vedder Price
Jul
20
2021
 SEC Rule 10b5-1: Trading Plans, Recent Lessons and Likely Reforms to Come Vedder Price
Sep
17
2015
 SEC Commissioners Address Recent Commission Orders Against CCOs Vedder Price
Oct
15
2015
 SEC Proposes New Liquidity Risk Management Rules for Mutual Funds and ETFs Vedder Price
Nov
19
2021
 SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers Vedder Price
Dec
1
2015
 Delaware Supreme Court Clarifies When Friendship Could Compromise Director’s Independence Vedder Price
Feb
10
2022
 SEC Proposes New Securities Lending Reporting Requirements Vedder Price
Apr
8
2016
 Division of Investment Management Issues Guidance on Fund Disclosure Reflecting Risks Related to Current Market Conditions Vedder Price
May
19
2016
 SEC Division of Investment Management Issues Guidance on Fund Disclosure Reflecting Risks Related to Current Market Conditions Vedder Price
Jul
21
2016
 SEC Staff Provides Temporary No-Action Relief on Auditor Independence and the “Loan Provision” Vedder Price
May
15
2010
 Collateralization of Swap Obligations in Leveraged Financings Vedder Price
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.
May
18
2012
 JOBS Act Serves to Assist Companies with Raising Capital and Jumpstarting the Job Market Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jan
24
2011
 Commodity Futures Trading Commission "CFTC" Approves Position Limits Proposal for Derivatives Bracewell LLP
Feb
11
2011
 Proposed Treasury Regulations Expand the Definition of "Publicly Traded" Bracewell LLP
Sep
29
2017
 The CFTC Wants You To Turn Yourself In Bracewell LLP
Aug
1
2013
 Securities and Exchange Commission (SEC) Fraud Charges Against School District Demonstrate Increased Focus on Disclosure Compliance by Municipal Issuers Bracewell LLP
Sep
7
2023
 SEC’s Move on NFTs Continues Pattern of Case-by-Case Regulation Bracewell LLP
Oct
31
2023
 FINRA Facts and Trends: October 2023 Bracewell LLP
Aug
27
2014
 Federal Energy Regulatory Commission (FERC) Issues Another Notice of Alleged Violations Concerning Up To Congestion Trades Bracewell LLP
May
8
2020
 SEC Leaders Ask Municipal Issuers for Voluntary COVID-19 Disclosure Bracewell LLP
Jun
12
2020
 Regulation BI Challenged in Second Circuit Bracewell LLP
Apr
23
2021
 Will Generic ESG Statements Lead to a Wave of Securities Litigation? Bracewell LLP
Jun
15
2022
 FINRA Facts and Trends: June 2022 Bracewell LLP
Oct
31
2011
 ISS Requests Comments on Proposed Hydraulic Fracturing Policy Bracewell LLP
Jun
7
2017
 U.S. Supreme Court: Disgorgement Subject to Five-Year Statute of Limitations Bracewell LLP
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