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
Aug
22
2013
 Key Considerations For Family Enterprises Exiting Direct Investments McDermott Will & Emery
Jul
11
2023
 SECURE 2.0 Technical Corrections Are on the Way, Eventually 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
Aug
15
2023
 Just Catching Up? For Secure 2.0’s Catch-up Contributions, Age Is More Than Just a Number McDermott Will & Emery
Jan
24
2020
 Court of Chancery Expands Stockholder Right to Corporate Books and Records McDermott Will & Emery
Apr
26
2024
 China Draws Scrutiny as US Regulators Renew Anti-Bribery and Corruption Enforcement Focus 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
Apr
28
2015
 SEC’s Large Payouts to Compliance-Officer Whistleblowers Highlight Need for Companies to Pay Prompt Attention McDermott Will & Emery
Jul
15
2015
 UK Tribunal Rules on “Rate-Booster” Strategy McDermott Will & Emery
Apr
20
2017
 Capital Markets & Public Companies Quarterly- April 20, 2017: New Developments in 2017 McDermott Will & Emery
Mar
10
2023
 DOJ and SEC Charge Healthcare Executive With Trading on Negative Information Known at the Time of Adopting Rule 10b5-1 Trading Plans McDermott Will & Emery
Apr
19
2013
 Taxpayer Challenges Validity of IRS Transfer Pricing Regulation McDermott Will & Emery
Jul
9
2018
 SEC Approves Rule Amendments That Expand the Number of Public Companies That Qualify for Smaller Reporting Company Scaled Disclosures McDermott Will & Emery
Aug
15
2023
 Better Than a Snow Day: The PBGC Provides One time Section 4010 Reporting Waiver McDermott Will & Emery
Mar
19
2015
 SEC No-Action Letter Permits Non-ERISA Retirement Plans to Issue Participant Fee Disclosures Without Violating Securities Laws McDermott Will & Emery
Nov
20
2020
 SEC Amends Exempt Offering Framework McDermott Will & Emery
Jun
29
2021
 SEC Looking to Update Rules on Schedule 13D Disclosures McDermott Will & Emery
May
5
2022
 Over My Dead Body: Defendant Can’t “Wait Until He Dies” to Pay Arbitration Award McDermott Will & Emery
Aug
3
2011
 Same-Sex Marriage Legalized in New York: Implications for Estate and Tax Planning McDermott Will & Emery
Oct
27
2011
 Public Companies: SEC Issues Guidance on Cybersecurity Disclosures McDermott Will & Emery
Jan
13
2012
 ISS Updates Proxy Voting Guidelines for 2012 McDermott Will & Emery
Jun
12
2017
 District Court Dismisses Shareholder Claim that Equity Award Share Withholding Triggers Section 16(b) Liability McDermott Will & Emery
Jun
25
2012
 Key Tax Considerations for Private Equity Acquisitions McDermott Will & Emery
Nov
15
2012
 Corporate Buyers Beware: FCPA Successor Liability – A Growing Threat McDermott Will & Emery
Nov
23
2012
 EU Considers Extending Disclosure Obligations for Government Payments McDermott Will & Emery
Apr
17
2019
 Observations From the Enforcement Directors at SEC’s Annual Conference McDermott Will & Emery
Sep
4
2019
 Life Sciences Company Settles Regulation FD Charges With SEC McDermott Will & Emery
Oct
24
2023
 Digital Health 101: OCR Issues Resources to Educate Patients on Telehealth, PHI McDermott Will & Emery
Oct
9
2014
 D.C. Bill Ostensibly Lowers Tax on Capital Gains from Qualified High Technology Company (QHTC) Investments… But How? McDermott Will & Emery
Apr
27
2022
 Climate Change Regulatory Update for Us Insurers: April 2022 McDermott Will & Emery
Apr
9
2010
 DOJ and SEC Will Significantly Increase FCPA Enforcement Efforts McDermott Will & Emery
Dec
8
2016
 Proposed Regulations Address Applicable Adjustments to Stock and Stock Rights under Code Section 305(c) McDermott Will & Emery
Jul
13
2011
 IRS Defends Discretion to Withhold Section 1256 Exchange Designation for ISOs McDermott Will & Emery
Jul
13
2017
 Capital Markets & Public Companies Quarterly: The Kokesh Decision’s Impact on SEC Enforcement McDermott Will & Emery
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