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
Apr
18
2012
 With Form PF Compliance Dates Quickly Approaching, Advisers Managing $150 Million or More of Private Fund Assets Should Begin to Prepare Hunton Andrews Kurth
Mar
23
2023
 SEC Advances Three New Cybersecurity Rule Proposals Hunton Andrews Kurth
Dec
20
2013
 Securities and Exchange Commission (SEC) Issues Guidance on General Solicitation and Rule 506 Bad Actor Rules Hunton Andrews Kurth
Nov
29
2023
 SEC Adopts Final Public Company Cybersecurity Disclosure Rules Hunton Andrews Kurth
Aug
28
2015
 Original Judgment in Conflict Minerals Case Reaffirmed Hunton Andrews Kurth
Aug
26
2016
 SEC Charges 71 Municipal Issuers and Obligated Persons Pursuant to Municipalities Continuing Disclosure Cooperation Initiative Hunton Andrews Kurth
Mar
7
2012
 Recent SEC Staff Comments Challenge Reporting of Equity Compensation Hunton Andrews Kurth
Apr
5
2012
 PCAOB Proposes New Audit Standard for Related Party Transactions and Excites Concern About Auditor Involvement in Executive Compensation Decisions Hunton Andrews Kurth
Aug
30
2012
 The SEC Issues its First Whistleblower Award Hunton Andrews Kurth
Mar
21
2018
 Director Equity Award Limit in LTIPs: How Companies are Addressing it this Proxy Season in Light of Recent Delaware Case Law Hunton Andrews Kurth
Nov
8
2023
 NYDFS Updates Its Cybersecurity Regulation to Protect Against Growing Cyber Threats Hunton Andrews Kurth
Nov
29
2023
 BREAKING: EU Commission Adopts EU-U.S. Data Privacy Framework Adequacy Decision Hunton Andrews Kurth
Mar
27
2024
 SEC Climate Rules: What Now? Hunton Andrews Kurth
Jul
22
2014
 SEC Staff Issues Guidance on Verifying Accredited Investor Status Hunton Andrews Kurth
Feb
17
2015
 SEC Proposes Dodd-Frank Disclosure Rule Regarding Hedging Policies Hunton Andrews Kurth
May
10
2021
 SEC Chairman Testifies About Digital Assets Hunton Andrews Kurth
Jun
30
2021
 SEC Settles Charges Against Real Estate Services Company Over Control Failures Related to Cybersecurity Disclosure Hunton Andrews Kurth
Sep
24
2015
 NYSE Expands Material News Notification Policy and Trading Halt Authority Effective September 28, 2015 Hunton Andrews Kurth
Dec
1
2015
 SEC Staff Updates Proxy “Unbundling” Guidance for M&A Transactions Hunton Andrews Kurth
Aug
6
2010
 What Financial Regulatory Reform Means to Private Funds Hunton Andrews Kurth
Nov
8
2010
 Next Wave of MBS Litigation Focuses on Issuers, Underwriters Hunton Andrews Kurth
Jan
26
2011
 SEC Proposes Rules to Implement the Dodd-Frank Act’s Mine Safety Disclosure Requirements Hunton Andrews Kurth
Apr
25
2011
 SEC Proposes Rules for Compensation Committees and Compensation Advisers Hunton Andrews Kurth
Jul
5
2011
 Legislative Alert: TWIA Finance Opportunities Under Texas Senate Bill 3 Hunton Andrews Kurth
Jul
19
2011
 Payments by Enron are "Settlement Payments" under the Bankruptcy Code's Safe Harbor Provisions Hunton Andrews Kurth
Sep
2
2011
 SEC Replaces Credit Ratings with New Wide Market Following Test for Shelf Registration Statement Eligibility Hunton Andrews Kurth
Apr
27
2017
 SEC Throws a Change-up in Conflict Minerals Rule Compliance Hunton Andrews Kurth
Nov
18
2011
 Federal Agencies Looking Closely at Municipal Bonds: What You Need to Know Hunton Andrews Kurth
Jul
2
2012
 Supreme Court to Address Fraud-on-the-Market Presumption in Federal Securities Class Actions Hunton Andrews Kurth
Aug
31
2012
 New Iran Sanctions Legislation Imposes SEC Disclosure Requirement Hunton Andrews Kurth
Mar
16
2023
 Bank Turmoil Brings Increased Risk of Litigation and Investigations Hunton Andrews Kurth
Jul
14
2023
 Court’s Ruling Splits Partly in Favor of SEC and Partly for Ripple Hunton Andrews Kurth
Jan
25
2014
 Higher Hart-Scott-Rodino Antitrust Improvements Act (HSR) Reporting Threshold Requirements Effective February 24, 2014 Hunton Andrews Kurth
Mar
11
2014
 Securities and Exchange Commission (SEC) Provides Limited Business Broker Registration Relief for Private Company Mergers and Acquisitions (M&A) Transactions Hunton Andrews Kurth
Nov
29
2023
 NAI Issues Best Practices Guidance on Health-Related Digital Advertising Hunton Andrews Kurth
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