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
Mar
6
2020
 SEC Proposes Rule Changes that Will Enable Entrepreneurs to Raise More Capital at Lower Costs Mitchell Silberberg & Knupp LLP
Mar
6
2020
 SEC Proposes Rule Changes to Harmonize and Simplify Offering Exemptions Katten
Aug
27
2020
 SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures Greenberg Traurig, LLP
Apr
14
2022
 SEC Proposes Rule Changes to Shorten Securities Settlement Cycle Vedder Price
Jul
13
2015
 SEC Proposes Rule Requiring Executive Compensation Clawbacks Katten
Jul
13
2016
 SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans Katten
Jul
27
2023
 SEC Proposes Rule to Address Use of AI By Broker-Dealers and Investment Advisors Cadwalader, Wickersham & Taft LLP
Sep
27
2012
 SEC Proposes Rule to Eliminate Ban on General Solicitation and Advertising Greenberg Traurig, LLP
May
22
2015
 SEC Proposes Rules Affecting Funds and Advisers Morgan, Lewis & Bockius LLP
Apr
25
2011
 SEC Proposes Rules for Compensation Committees and Compensation Advisers Hunton Andrews Kurth
Feb
17
2015
 SEC Proposes Rules for Disclosure of Companies’ Hedging Policies Katten
Mar
10
2015
 SEC Proposes Rules for Disclosure of Hedging by Employees, Officers and Directors Vedder Price
Aug
17
2023
 SEC Proposes Rules for IAs/BDs Regarding Digital Engagement Practices (Gamification) and Proposes Amendments Regarding 'Robo-Adviser' Registration Katten
May
6
2015
 SEC Proposes Rules for Pay For Performance Disclosure ArentFox Schiff LLP
May
8
2015
 SEC Proposes Rules for Security-based Swap Activity of Non-US Persons in the United States Katten
Jul
18
2016
 SEC Proposes Rules on Adviser Business Continuity and Transition Plans Faegre Drinker
Jul
13
2015
 SEC Proposes Rules on Compensation Clawback Policies Foley & Lardner LLP
May
5
2015
 SEC Proposes Rules on Mandatory Pay for Performance Disclosure Foley & Lardner LLP
Mar
17
2013
 SEC Proposes Rules Regarding Technology Systems Katten
Mar
24
2022
 SEC Proposes Rules Requiring Climate-Related Disclosures from Registered Public Companies Sheppard, Mullin, Richter & Hampton LLP
Jul
9
2015
 SEC Proposes Rules Requiring Companies to Adopt, Disclose, and Comply With Clawback Policies on Erroneously Awarded Executive Compensation Morgan, Lewis & Bockius LLP
Sep
17
2012
 SEC Proposes Rules to Allow General Solicitation in Private Offerings under Rule 506 Mintz
May
29
2015
 SEC Proposes Rules to Enhance Information Reported by Investment Advisers Morgan, Lewis & Bockius LLP
Nov
19
2015
 SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems Proskauer Rose LLP
Nov
20
2017
 SEC Proposes Rules to Implement FAST Act Mandate Vedder Price
Jan
26
2011
 SEC Proposes Rules to Implement the Dodd-Frank Act’s Mine Safety Disclosure Requirements Hunton Andrews Kurth
Jun
5
2015
 SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers Katten
Jun
12
2015
 SEC Proposes Rules to Modernize and Enhance Investment Company and Investment Adviser Reporting Vedder Price
May
6
2022
 SEC Proposes Rules to Regulate Certain Market Participants as "Dealers" or "Government Securities Dealers" Vedder Price
Sep
25
2019
 SEC Proposes Rules to Update Statistical Disclosure Requirements for Bank and Savings and Loan Registrants Bracewell LLP
Jun
24
2016
 SEC Proposes Rules Updating Mining Registrant Disclosure Requirements Katten
Mar
23
2023
 SEC Proposes Safeguarding Rule Amending Custody Rule ArentFox Schiff LLP
Sep
13
2015
 SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators Katten
Apr
13
2022
 SEC Proposes Short Sale Data Reporting by Institutional Investment Managers Vedder Price
Mar
21
2017
 SEC Proposes Significant Alterations for Financial Obligation Disclosures for Governmental Issuers and Certain Nonprofit Organizations Polsinelli PC
Mar
11
2022
 SEC Proposes Significant Amendments to Form PF Proskauer Rose LLP
Dec
3
2019
 SEC Proposes Significant Amendments to Investment Adviser Advertising Rule Cadwalader, Wickersham & Taft LLP
Dec
28
2021
 SEC Proposes Significant Amendments to Rule 10b5-1 Trading Plans for Corporate Insiders Bradley Arant Boult Cummings LLP
Apr
14
2022
 SEC Proposes Significant Changes to Beneficial Ownership Reporting Requirements Vedder Price
Dec
7
2022
 SEC Proposes Significant Liquidity Risk Management and Swing Pricing Reforms Vedder Price
Feb
10
2022
 SEC Proposes Significant Money Market Fund Reforms Vedder Price
Apr
11
2022
 SEC Proposes Significant New Rules for Private Fund Advisers K&L Gates
Feb
15
2022
 SEC Proposes Sweeping Amendments to the Advisers Act for Private Fund Advisers Vedder Price
Apr
18
2022
 SEC Proposes Sweeping Amendments to the Advisers Act for Private Fund Advisors Vedder Price
Nov
17
2022
 SEC proposes Swing Pricing and A Hard Close for All Mutual Funds K&L Gates
Jan
10
2022
 SEC Proposes Swing Pricing for Institutional Money Market Funds K&L Gates
Aug
22
2019
 SEC Proposes to Amend Disclosure Rules Regarding Business Description, Legal Proceedings, and Risk Factors Jones Walker LLP
Aug
14
2019
 SEC Proposes to Amend Disclosure Rules Regarding Business Description, Legal Proceedings, and Risk Factors Bracewell LLP
Sep
28
2015
 SEC Proposes To Amend Its Rules Governing Administrative Proceedings ArentFox Schiff LLP
Oct
4
2019
 SEC Proposes to Amend Quotation Rule for OTC Securities Katten
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