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
Dec
6
2023
 SEC Adopts a Rule Prohibiting Conflicts of Interest in Certain Securitizations Cadwalader, Wickersham & Taft LLP
Feb
26
2016
 SEC Adopts Additional Rule for Cross-Border Security-Based Swaps Katten
Jul
1
2019
 SEC Adopts Additional Rules for Security-Based Swaps Katten
Jun
10
2016
 SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information Katten
Mar
24
2017
 SEC Adopts Amendment to Shorten Settlement Cycle for Securities Transactions Katten
Jul
24
2020
 SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice Katten
Oct
12
2023
 SEC Adopts Amendments Modernizing Beneficial Ownership Reporting K&L Gates
Nov
20
2020
 SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings Katten
Jan
10
2023
 SEC Adopts Amendments Regarding Insider Trading Plans and Related Disclosures Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2022
 SEC Adopts Amendments Requiring Electronic Filing of Forms 144 Mintz
Jul
23
2018
 SEC Adopts Amendments Requiring Inline XBRL Reporting for Fund Risk/Return Summary Information Vedder Price
Sep
28
2018
 SEC Adopts Amendments that Simplify and Update Disclosure Requirements McDermott Will & Emery
Oct
10
2023
 SEC Adopts Amendments to 'Names Rule' Impacting Regulated Investment Funds Katten
Oct
12
2023
 SEC Adopts Amendments to and Issues Guidance Regarding Beneficial Ownership Reporting Requirements Jones Walker LLP
Oct
20
2023
 SEC Adopts Amendments to Beneficial Ownership Reporting Rules McDermott Will & Emery
Nov
9
2023
 SEC Adopts Amendments to Beneficial Ownership Rules Womble Bond Dickinson (US) LLP
May
30
2020
 SEC Adopts Amendments to Disclosure Requirements for Acquired and Disposed Businesses Cadwalader, Wickersham & Taft LLP
Sep
11
2020
 SEC Adopts Amendments to Disclosures of Business Issues (Item 101), Legal Proceedings (Item 103), and Risk Factors (Item 105) Under Regulation S-K Mintz
Jul
10
2020
 SEC Adopts Amendments to Exemptive Applications Procedures Katten
Sep
3
2020
 SEC Adopts Amendments to Expand Definition of Accredited Investor K&L Gates
Nov
19
2021
 SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods Vedder Price
Jun
16
2020
 SEC Adopts Amendments to Financial Statement and Pro Forma Requirements in Connection with Acquisitions and Dispositions of Businesses Jones Walker LLP
May
22
2020
 SEC Adopts Amendments to Improve Financial Disclosures related to Acquisitions and Dispositions of Businesses, Update “Significant Subsidiary” Test Bracewell LLP
Aug
1
2019
 SEC Adopts Amendments to Loan Provision of Auditor Independence Rules Vedder Price
Dec
8
2020
 SEC Adopts Amendments to Management’s Discussion and Analysis and Other Financial Disclosures Cadwalader, Wickersham & Taft LLP
Dec
7
2020
 SEC Adopts Amendments to MD&A and Other Financial Disclosures Katten
Mar
22
2019
 SEC Adopts Amendments to Modernize and Simplify Disclosure Requirements Bracewell LLP
Mar
28
2019
 SEC Adopts Amendments To Modernize And Simplify Disclosure Requirements Barnes & Thornburg LLP
Oct
23
2020
 SEC Adopts Amendments to Modernize Auditor Independence Rules Katten
Sep
11
2020
 SEC Adopts Amendments to Modernize Disclosures of Business, Legal Proceedings and Risk Factors under Regulation S-K K&L Gates
Sep
3
2020
 SEC adopts amendments to modernize disclosures under Regulation S-K Godfrey & Kahn S.C.
Apr
16
2024
 SEC Adopts Amendments to Modernize Internet Investment Adviser Registration Exemption Stark & Stark
Aug
28
2020
 SEC Adopts Amendments to Modernize Risk Factor Disclosure Requirements Cadwalader, Wickersham & Taft LLP
Sep
28
2020
 SEC Adopts Amendments to Modernize Shareholder Proposal Rule Godfrey & Kahn S.C.
Jul
24
2014
 SEC Adopts Amendments to Money Market Fund Rules Faegre Drinker
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