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
2
2023
 Cybersecurity Sheriffs Continue to Multiply and Crack Down – New SEC Rule Amps Up Public Company Pressure Vedder Price
Aug
2
2023
 Are Syndicated Term Loans Securities? The SEC Declines to Weigh in on Kirschner Proskauer Rose LLP
Aug
2
2023
 Federal Court Declines to Follow Ripple Holding Hunton Andrews Kurth
Aug
2
2023
 An Evolving High-Wire Act: Navigating Conflicting Laws, Regulations, and Guidance in the ESG Space Sheppard, Mullin, Richter & Hampton LLP
Aug
2
2023
 Open Finance and Payment Services Package (EU) K&L Gates
Aug
2
2023
 Sustainable Finance: Commission Proposes to Regulate ESG Rating Providers K&L Gates
Aug
1
2023
 The UK Consults on New Securitisation Rules Cadwalader, Wickersham & Taft LLP
Aug
1
2023
 The Court of Justice Overturns the General Court’s Judgment Annulling the European Commission’s Prohibition Decision in the Telecom Sector K&L Gates
Aug
1
2023
 California Takes the Wheel: A Closer Look at Privacy in Connected Vehicles Bradley Arant Boult Cummings LLP
Aug
1
2023
 The French CNIL’s New Guidance on Whistleblowing Squire Patton Boggs (US) LLP
Aug
1
2023
 SEC Adopts Final Rules Requiring Current and Annual Cybersecurity Disclosures Jones Walker LLP
Aug
1
2023
 Australia: Financial Accountability Regime: Not that Far Away K&L Gates
Aug
1
2023
 SEC Finalizes New Cybersecurity Incident Reporting Rules for Public Companies Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Aug
1
2023
 SEC Adopts Cybersecurity Incident and Risk Management Disclosure Rules Polsinelli PC
Aug
1
2023
 Securities Class Action Trend Cases - 2023 Update Cornerstone Research
Aug
1
2023
 SEC Adopts Final Cybersecurity Rules for Public Companies Mintz
Aug
1
2023
 SEC Finalizes Cyber Rules for Public Companies: What You Need to Know Greenberg Traurig, LLP
Aug
1
2023
 Federal Regulators Issue Notice of Proposed Rulemaking Revising Capital Requirements for Large Banks and Banks with Significant Trading Activity Vedder Price
Aug
1
2023
 A Little Big Change for Articles of Organization of California LLCs Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
31
2023
 SEC Publishes New Rules Requiring Disclosure of Cyber Incidents Hunton Andrews Kurth
Jul
31
2023
 Republicans Reintroduce House Bill to Limit ESG Considerations in Retirement Investing Cadwalader, Wickersham & Taft LLP
Jul
31
2023
 Ripple’s Legal Waves: Ripple Summary Judgment Ruling Could Have Wide-Ranging Impact Winstead
Jul
31
2023
 California Amends Corporations Code to Authorize Audio Option for Shareholder/Member Meetings Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
28
2023
 U.S. Executive Branch Update – July 28, 2023 Squire Patton Boggs (US) LLP
Jul
28
2023
 SEC Adopts Final Cybersecurity Risk Management and Incident Disclosure Regulations Squire Patton Boggs (US) LLP
Jul
28
2023
 SEC Finalizes Cybersecurity Rule: What It Means Epstein Becker & Green, P.C.
Jul
28
2023
 Nonsensical Bill Requiring Founding Team Diversity Reports Advances Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
28
2023
 SEC Adopts Final Cybersecurity Reporting Rule Epstein Becker & Green, P.C.
Jul
28
2023
 United States: CFTC Proposes to Broaden Scope of Eligible Collateral for Initial Margin K&L Gates
Jul
28
2023
 DOJ Enters Into DPAs with Former Deerfield Traders and CMS Consultant ArentFox Schiff LLP
Jul
27
2023
 SEC Disclosure Requirements for Material Cybersecurity Incidents Updated Cadwalader, Wickersham & Taft LLP
Jul
27
2023
 SEC Proposes Rule to Address Use of AI By Broker-Dealers and Investment Advisors Cadwalader, Wickersham & Taft LLP
Jul
27
2023
 The Good, the Bad and the Ugly in Secure 2.0: A Primer for Retail Employees Jackson Lewis P.C.
Jul
27
2023
 What Once Was Old Is New Again: DOJ and FTC Issue Draft New Merger Guidelines Bracewell LLP
Jul
27
2023
 Weekly Bankruptcy Alert (For the week ending July 23, 2023) Pierce Atwood LLP
Jul
27
2023
 United States: Updating – and Limiting – the Internet Advisers Exemption K&L Gates
Jul
27
2023
 Congress and the White House May Restrict U.S. Investments in Certain Chinese Industries Greenberg Traurig, LLP
Jul
27
2023
 Blockchain+ Bi-Weekly July 27, 2023 Polsinelli PC
Jul
27
2023
 SEC Adopts New Cybersecurity Rules for Public Companies Robinson & Cole LLP
Jul
27
2023
 United States: We’re Not in Kansas Anymore: The SEC Proposes Rules for The Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers K&L Gates
Jul
27
2023
 SEC Cryptocurrency Enforcement: June 2023 Update Cornerstone Research
Jul
27
2023
 Why a Recession Could Be Good for the Bond Market, the Banking Sector, and the Real Estate Market ArentFox Schiff LLP
Jul
26
2023
 District of NJ: Federal Courts Lack Jurisdiction to Enforce Preliminary Reinstatement Orders Under SOX Proskauer Rose LLP
Jul
26
2023
 Fighting Transnational Corruption: Why the Treasury Department Must Make Awards More Accessible to Whistleblowers in its AML Whistleblower Act Regulations Kohn, Kohn & Colapinto
Jul
26
2023
 CFPB's Focus on Standard-Form Consumer Agreements Warrants 'Fresh Eyes' on Consumer Template Disclosures Katten
Jul
26
2023
 Secure-Ing Insurance Company Separate Account Assets for ETFS K&L Gates
Jul
25
2023
 Financial Metrics in M&A Transactions: Evaluating Valuation Metrics, Pricing, and Potential Returns Foley & Lardner LLP
Jul
25
2023
 Science-Based Targets Initiative Releases Consultation Papers for Financial Institutions, Highlights Need for Renewable Power Financing Cadwalader, Wickersham & Taft LLP
Jul
25
2023
 Regulatory Framework for Privately-Offered Investment Funds in China: Implications and Compliance Sheppard, Mullin, Richter & Hampton LLP
Jul
25
2023
 IRS Criminal Investigation Division Is on The Hunt for Malta Pension Plan Participants and Promoters McDermott Will & Emery
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