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.

Date	Title	Organization
20 Jan	New NJ Law Provides Corporate Tax Credits To Foster Job Creation	Giordano, Halleran & Ciesla, P.C.
19 Jan	The Entrepreneur Access to Capital Act and What It Could Mean for Startups	Sheppard, Mullin, Richter & Hampton LLP
17 Jan	Further Relief on Section 6045B Reporting	Sheppard, Mullin, Richter & Hampton LLP
16 Jan	CFTC Interim Rule Limits Futures and Swaps Positions; Challenge Filed, Delay Rejected	McDermott Will & Emery
15 Jan	Third IRS Offshore Initiative Offers Taxpayers Another Chance to Come Clean as IRS Increases its International Tax Enforcement	Greenberg Traurig, LLP
15 Jan	Foreign Corporation's Mere Awareness That Its Products May Ultimately End Up In a Forum State Is Not Sufficient Contact to Support Personal Jurisdiction	Sheppard, Mullin, Richter & Hampton LLP
14 Jan	SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions	Sheppard, Mullin, Richter & Hampton LLP
13 Jan	SEC Adopts Revised Net Worth Standard for Accredited Investors	Hunton Andrews Kurth
13 Jan	ISS Updates Proxy Voting Guidelines for 2012	McDermott Will & Emery
12 Jan	Update on New Reporting Rules for Stock Splits, Recapitalizations, Mergers and Acquisitions	Sheppard, Mullin, Richter & Hampton LLP
11 Jan	SEC Adopts Mine Safety Disclosure Rules	Hunton Andrews Kurth
11 Jan	ISS Publishes Guidance on New Methodology for Evaluating Pay-for-Performance Alignment and Updates to its Governance Risk Indicators	Hunton Andrews Kurth
11 Jan	Regulatory Update: SEC Adopts Final Rules Defining "Accredited Investor" Consistent with Dodd-Frank	Sheppard, Mullin, Richter & Hampton LLP
10 Jan	Community Banks and Compliance with FINRA Rule 6490	Dinsmore & Shohl LLP
8 Jan	China Issues New Foreign Investment Industrial Guidance Catalogue	McDermott Will & Emery
7 Jan	SEC Toughens Listing Requirements for Reverse Merger Companies	Sheppard, Mullin, Richter & Hampton LLP
6 Jan	New York High Court Holds That State Blue Sky Law Does Not Preempt Common Law Claims Involving Securities	Sheppard, Mullin, Richter & Hampton LLP
1 Jan	Judges’ New Scrutiny of Settlements May Make Life Difficult for Defendants	Ifrah Law
21 Dec	OSHA’s Revision of Sarbanes-Oxley Whistleblower Regulations	McDermott Will & Emery
20 Dec	Preparing for the 2012 Proxy Season	Dinsmore & Shohl LLP
20 Dec	IRS Offers Temporary Relief to IRA Owners; Awaits DOL Guidance	Morgan, Lewis & Bockius LLP
19 Dec	Three Ways to Stay Ahead of the SEC Cyberthreat Disclosure Mandate	Risk and Insurance Management Society, Inc. (RIMS)
16 Dec	SEC Staff Limits Ability of Foreign Issuers to Submit Draft Filings on Confidential Basis	McDermott Will & Emery
16 Dec	Time Line: A Year of Financial Institution Fines	Risk and Insurance Management Society, Inc. (RIMS)
12 Dec	Delaware Supreme Court Clarifies Scope of Relief a Shareholder is Entitled For Inspection of Corporate Books And Records Pursuant To A Section 220 Demand	Sheppard, Mullin, Richter & Hampton LLP
3 Dec	Using the Internet to Your Company's Advantage in Defending Against A Whistleblower Action	Sheppard, Mullin, Richter & Hampton LLP
2 Dec	Judge in Citigroup Case has Bucked Trend of Rubber Stamping SEC Settlements	Center for Public Integrity
2 Dec	ISS Publishes 2012 Updates to Benchmark U.S. Proxy Voting Guidelines	Hunton Andrews Kurth
29 Nov	SEC Approves More Rigorous Listing Requirements of the Major U.S. Stock Exchanges for Reverse Merger Companies	McDermott Will & Emery
26 Nov	Best Practices for CEOs to Build Compliant Organizations	Greenberg Traurig, LLP
21 Nov	ISS Releases 2012 Updates to Proxy Voting Guidelines	Morgan, Lewis & Bockius LLP
21 Nov	Treasury Department Issues Final Regulations Clarifying Federal Income Tax Treatment of an Exchange of Partnership Debt for an Equity Interest in the Partnership	Greenberg Traurig, LLP
21 Nov	DOL to Re-Propose “Fiduciary” Definition Regulation in Wake of Considerable Criticism	McDermott Will & Emery
18 Nov	SEC Approves Additional Listing Requirements for Reverse Merger Companies	Greenberg Traurig, LLP
18 Nov	Federal Agencies Looking Closely at Municipal Bonds: What You Need to Know	Hunton Andrews Kurth
17 Nov	Recent SEC Guidance and Upcoming Amendments to California and Illinois Statutes Affect Data Breach Disclosure Obligations	Morgan, Lewis & Bockius LLP
14 Nov	DOJ and SEC Affirm Continued Commitment to Rigorous FCPA Enforcement	Morgan, Lewis & Bockius LLP
14 Nov	Derivatives — Congress Introduces Legislation to Clarify Extra-Territorial Reach of Dodd-Frank Swap Rules	Greenberg Traurig, LLP
13 Nov	CFTC Launches Whistleblower Program: Dodd-Frank Update	Greenberg Traurig, LLP
13 Nov	SEC Staff Grants No-Action Relief on Compliance with ERISA Disclosure Rule	Morgan, Lewis & Bockius LLP
12 Nov	Recent Supreme Court Decisions That Will Shape Class Action Practice	Morgan, Lewis & Bockius LLP
11 Nov	All in the Family: Application of the SEC’s Family Office Rule	ArentFox Schiff LLP
11 Nov	Form PF Will Result in Substantial Reporting Requirements for Registered Advisers to Private Funds	Morgan, Lewis & Bockius LLP
9 Nov	IRS Extends Carrot to Issuers of Tax-Advantaged Bonds to Encourage Adoption of Post-Issuance Compliance Procedures	Greenberg Traurig, LLP
8 Nov	Janus Capital Group, Inc. v. First Derivative Traders: Supreme Court Rules Regarding Liability of Secondary Actors	Vedder Price
8 Nov	Supreme Court Determines That Plaintiffs Do Not Need to Prove Loss Causation in Order to Obtain Class Certification in Federal Securities Fraud Actions	Vedder Price
7 Nov	The SEC Settles Yet Another Section 304 Clawback Case against an “Innocent” Executive, but Litigation Regarding the Meaning of “Misconduct” May Continue in SEC v. Jenkins	Vedder Price
6 Nov	Appeals Court Vacates SEC’s Proxy Access Rule	Vedder Price
4 Nov	FINRA Clarifies its Social Media Guidelines	Vedder Price
2 Nov	Department of Labor Interim Guidance on Electronic Disclosure of Fee Information	Vedder Price

May 22, 2022

Volume XII, Number 142

May 22, 2022

May 21, 2022

May 20, 2022

Securities Exchange Commission

CFTC & FINRA

Securities around the World

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