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
Nov
10
2020
 SEC Proposes Conditional Exemption for Finders Engaging in Limited Capital Raising Activities Vedder Price
Oct
12
2020
 SEC Proposes Conditional Exemption for Tier I and Tier II Finders in Private Capital Raising Proskauer Rose LLP
May
4
2018
 SEC Proposes Conduct Standards for Investment Advisers Katten
Mar
30
2023
 SEC Proposes Custody Rule Overhaul with Broad Implications for Investment Advisers, Custodians, and Independent Public Accounting Firms K&L Gates
Feb
11
2022
 SEC Proposes Cybersecurity Regulations for Advisers and Funds Squire Patton Boggs (US) LLP
Mar
9
2022
 SEC Proposes Cybersecurity Risk Management Rules for Investment Advisers and Funds K&L Gates
Apr
28
2022
 SEC Proposes Cybersecurity Rule for Registered Funds and Investment Advisers Proskauer Rose LLP
Mar
11
2022
 SEC Proposes Cybersecurity Rules for Public Companies Hunton Andrews Kurth
Nov
23
2010
 SEC Proposes Definition of Venture Capital Fund under Dodd-Frank Michael Best & Friedrich LLP
Feb
24
2015
 SEC Proposes Disclosure Rule for Hedging Transactions by Directors, Officers and Employees McDermott Will & Emery
Jan
14
2011
 SEC Proposes Disclosure Rules for Payments by Resource Extraction Issuers Hunton Andrews Kurth
Feb
11
2015
 SEC Proposes Disclosure Rules on Hedging Policies Mintz
Aug
12
2022
 SEC Proposes Disclosures For Funds And Asset Management Advisors Making ESG Investment Claims Barnes & Thornburg LLP
Feb
17
2015
 SEC Proposes Dodd-Frank Disclosure Rule Regarding Hedging Policies Hunton Andrews Kurth
Mar
11
2022
 SEC Proposes Enhanced Cybersecurity Disclosure Womble Bond Dickinson (US) LLP
Oct
15
2021
 SEC Proposes Enhanced Proxy Voting Reporting Requirements for Funds and Managers Vedder Price
Oct
25
2010
 SEC Proposes Enhanced Short-Term Borrowing Disclosure Rules Hunton Andrews Kurth
Jun
13
2022
 SEC Proposes ESG Reporting and Disclosure Requirements for Private Fund Advisers Proskauer Rose LLP
Jul
15
2015
 SEC Proposes Executive Compensation Clawback Rule Hunton Andrews Kurth
Apr
2
2020
 SEC Proposes Exemption from General Solicitation for “Demo Days” Mintz
Oct
9
2020
 SEC Proposes Exemption from Registration for Finders Greenberg Traurig, LLP
Oct
21
2020
 SEC Proposes Exemptive Relief for Finders Faegre Drinker
Mar
24
2022
 SEC Proposes Expanded Climate-Related Disclosure Womble Bond Dickinson (US) LLP
Jan
31
2020
 SEC Proposes Expanding Access to Private Funds Vedder Price
Nov
8
2021
 SEC Proposes Expanding Electronic Filing Requirements on IARD and EDGAR Systems Cadwalader, Wickersham & Taft LLP
Dec
23
2019
 SEC Proposes Expanding the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” Polsinelli PC
Feb
5
2020
 SEC Proposes Expanding “Accredited Investor” and “Qualified Institutional Buyer” Definitions Mintz
Mar
17
2017
 SEC Proposes Expansive New Continuing Disclosure Requirements Regarding Private Debt and Other Financial Obligations Mintz
Nov
18
2019
 SEC Proposes Expedited Review Process for Exemptive Applications Vedder Price
Sep
9
2014
 SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades Vedder Price
Apr
13
2022
 SEC Proposes Extensive New Rules Applicable to SPACs and de-SPAC Transactions Proskauer Rose LLP
Jun
26
2018
 SEC Proposes FAIR Act Rules to Increase the Availability of Research Reports on Covered Investment Funds Vedder Price
May
10
2018
 SEC Proposes Fiduciary Rule for Broker-Dealers Katten
Feb
11
2015
 SEC Proposes Hedging Policy Disclosure Requirement Morgan, Lewis & Bockius LLP
May
24
2016
 SEC Proposes Higher Net Worth Threshold for Qualified Clients Under Advisers Act Proskauer Rose LLP
Jul
13
2020
 SEC Proposes Increasing the 13F Threshold to $3.5 billion Proskauer Rose LLP
Mar
25
2016
 SEC Proposes Interpretation on Automated Quotations Under Regulation NMS Katten
Mar
22
2022
 SEC Proposes Landmark Standardized Disclosure Rules on Climate-Related Risks McDermott Will & Emery
Dec
22
2021
 SEC Proposes Large Security-Based Swaps Position Reporting Rules Proskauer Rose LLP
Sep
25
2015
 SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs Katten
Sep
28
2015
 SEC Proposes Liquidity Risk Management Rules for Open-End Funds Morgan, Lewis & Bockius LLP
Aug
19
2020
 SEC Proposes Major Changes to Prospectus and Shareholder Report Disclosure Scheme K&L Gates
Mar
18
2022
 SEC Proposes Mandatory Cybersecurity Disclosures Vedder Price
Nov
2
2019
 SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods Katten
Sep
8
2020
 SEC Proposes Modernization of Fund Disclosure Regime Vedder Price
Nov
19
2019
 SEC Proposes Modernizing Adviser Advertising and Cash Solicitation Rules Vedder Price
Nov
13
2019
 SEC Proposes Modernizing Shareholder Proposal Rule Womble Bond Dickinson (US) LLP
Mar
23
2022
 SEC Proposes Monthly Short Sale Reporting Requirements: Aggregated Information to be Public; New Order Marking Requirements Detailed Proskauer Rose LLP
Nov
8
2019
 SEC Proposes New Amendments to Modernize Shareholder Proposal Rules Katten
Jun
30
2018
 SEC Proposes New Approval Process for Certain ETFs Katten
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