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
Feb
5
2014
 Preparation for 2013 Fiscal Year-End SEC Filings and 2014 Annual Shareholder Meetings Mintz
Feb
2
2016
 Preparation for 2015 Fiscal Year-End SEC Filings and 2016 Annual Shareholder Meetings Mintz
Jan
29
2019
 Preparation for 2018 Fiscal Year-End SEC Filings and 2019 Annual Shareholder Meetings Mintz
Jan
23
2020
 Preparation for 2019 Fiscal Year-End SEC Filings and 2020 Annual Shareholder Meetings Mintz
Nov
22
2016
 Preparing for 2017 Proxy Season: Recent Developments in Proxy Access and Universal Proxy Cards Bracewell LLP
Sep
14
2012
 Preparing for Competent Authority Cases—Strategy McDermott Will & Emery
Jan
7
2011
 Preparing for the 2011 Proxy Season: What’s New Dinsmore & Shohl LLP
Dec
20
2011
 Preparing for the 2012 Proxy Season Dinsmore & Shohl LLP
Mar
6
2013
 Preparing for the 2013 Proxy Season Michael Best & Friedrich LLP
Jan
9
2023
 Preparing for the Annual Reporting Season: Non-gaap Measures K&L Gates
Apr
12
2023
 Preparing for the New SEC Electronic Filing Requirements for Form 144 – What Public Companies and Their Affiliates Need to Do to Be Prepared Cadwalader, Wickersham & Taft LLP
Jul
29
2021
 Preparing for the Post-Quantum Migration: A Race to Save the Internet Womble Bond Dickinson (US) LLP
Mar
11
2022
 Preparing for the Tidal Wave and Bracing for the Tsunami: Utah Becomes the Fourth State to Pass Privacy Legislation Bradley Arant Boult Cummings LLP
Dec
20
2012
 Preparing for UK Regulatory Change: An Overview of the New Framework Katten
May
22
2022
 Preparing to Testify in Response to an SEC Subpoena Oberheiden P.C.
Dec
2
2021
 Present But Not Accounted For: NYSE Amends Treatment Of Abstentions In Certain Shareholder Votes Nelson Mullins
Apr
8
2015
 Preserving Net Operating Losses (NOL) Carryforward: What Are You Doing to Protect Your Company’s Valuable Tax Assets? Mintz
Jan
19
2021
 President Biden Announces Gary Gensler as SEC Chair Nominee Faegre Drinker
Sep
28
2023
 President Biden Establishes a White House Office of Gun Violence Prevention Mintz
Apr
8
2022
 President Biden Nominates Former DOC (AKA DBO & DFPI) Attorney To SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
6
2023
 President Biden’s AI Executive Order: A Comprehensive Overview Varnum LLP
Feb
11
2021
 President Biden’s Nominee for SEC Chairman: What Does It Mean for Crypto? Hunton Andrews Kurth
Jan
20
2021
 President Biden’s SEC Enforcement Program: What Should Private Fund Managers Expect? Proskauer Rose LLP
Apr
13
2013
 President Obama Nominates Mary Jo White as New SEC Chair Godfrey & Kahn S.C.
Jul
21
2010
 President Obama Signs Dodd-Frank Act Into Law Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2018
 President Trump Asks SEC To Explore Replacing Quarterly Reporting With Half-Yearly Reporting Katten
Feb
16
2017
 President Trump Signs First Congressional Review Act Disapproval Resolution in 16 Years Covington & Burling LLP
Feb
22
2017
 President Trump Signs Repeal of SEC's Extraction Payment Disclosure Rule Bracewell LLP
Jan
6
2017
 President-Elect Trump Nominates Clayton as SEC Chair Katten
Mar
4
2016
 President’s Budget Proposal – More Bond Stuff Squire Patton Boggs (US) LLP
Sep
2
2020
 President’s Working Group Attempts to Increase Transparency in Chinese Investments Barnes & Thornburg LLP
May
16
2023
 Pricing Service? SEC Bends the Law to Sanction Valuer of Fixed Income Securities Norris McLaughlin P.A.
Apr
18
2020
 Primary And Secondary Market Corporate Credit Facilities Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2015
 Principal Deputy Assistant Attorney General Mizer Sheds Additional Light on Individual Accountability and the Yates Memo Mintz
May
14
2020
 Priorities of the SEC Division of Enforcement’s Coronavirus Steering Committee Vedder Price
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