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
2
2021
SIFMA, DTCC and ICI to Shorten U.S. Securities Settlement Cycle Cadwalader, Wickersham & Taft LLP
Dec
1
2021
SEC Awards $175,000 to Whistleblower for Independent Analysis Kohn, Kohn & Colapinto
Dec
1
2021
SEC Releases FY 2021 Whistleblower Program Annual Report Proskauer Rose LLP
Dec
1
2021
SEC Announces FY2021 Results With 7 Percent Increase in New Enforcement Actions Barnes & Thornburg LLP
Nov
30
2021
Good News and Bad News about Unclaimed Property in Wisconsin Foley & Lardner LLP
Nov
29
2021
Useful Reference Materials for Compliance with the New Derivatives Rule for “Limited Derivatives Users” Vedder Price
Nov
24
2021
SEC Awards $400,000 to Whistleblower Culpable in Ponzi Scheme They Reported Kohn, Kohn & Colapinto
Nov
23
2021
2021 SEC Enforcement Results – Takeaways for Fund Managers Proskauer Rose LLP
Nov
23
2021
DAOsing Rods and the Power of Enforcement Prediction Polsinelli PC
Nov
23
2021
SEC Rule Change to Clear Path for Investors on Corporate Boards Mintz
Nov
22
2021
SEC Awards Over $10 Million to Several Whistleblowers Kohn, Kohn & Colapinto
Nov
19
2021
SEC Staff Issues Update Regarding Withdrawal and Modification of Staff Letters Relating to New Adviser Marketing Rule Vedder Price
Nov
19
2021
SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers Vedder Price
Nov
19
2021
Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies Vedder Price
Nov
19
2021
SEC Reports Significant Increases In FY2021 Whistleblower Program Jackson Lewis P.C.
Nov
19
2021
SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods Vedder Price
Nov
19
2021
SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products Vedder Price
Nov
19
2021
FY2021 a Big Year for SEC Enforcement Efforts Kohn, Kohn & Colapinto
Nov
19
2021
ISDA Publishes Suggested Practices for SEC SBS Reporting Party Determinations Cadwalader, Wickersham & Taft LLP
Nov
19
2021
Investment Adviser Settles Charges for Mishandling MNPI Cadwalader, Wickersham & Taft LLP
Nov
19
2021
SIFMA Conducts Financial Sector Cybersecurity Exercise Cadwalader, Wickersham & Taft LLP
Nov
19
2021
SEC Highlights Spike in Whistleblower Tips in Fiscal Year 2021 Cadwalader, Wickersham & Taft LLP
Nov
19
2021
SEC Enforcement Report Touts Volume of New Actions and Increase in Penalties Cadwalader, Wickersham & Taft LLP
Nov
19
2021
SEC Proposes Amendments to Electronic Recordkeeping Requirements Cadwalader, Wickersham & Taft LLP
Nov
19
2021
SEC Proposes to Require Extensive Disclosures on Securities Loans Cadwalader, Wickersham & Taft LLP
Nov
18
2021
SEC Continues to Advance ESG Agenda Hunton Andrews Kurth
Nov
17
2021
SEC Actions Against Public Companies and Subsidiaries Declined Again in FY 2021 Cornerstone Research
Nov
17
2021
Implications of SEC’s Scrutiny of Data Use Representations Sheppard, Mullin, Richter & Hampton LLP
Nov
16
2021
SEC Chair Gensler Signals SEC Policies for Private Funds Proskauer Rose LLP
Nov
16
2021
SEC Issues Risk Alert on Investment Advisers that Provide Electronic Investment Advice Vedder Price
Nov
16
2021
SEC Whistleblower Program Attracts Record Number of Tips and Pays Record Awards in FY 2021 Zuckerman Law
Nov
15
2021
SEC Issues Risk Alert on Investment Advisers' Fee Calculations Vedder Price
Nov
15
2021
SEC Report Details Record-Shattering Year for Whistleblower Program Kohn, Kohn & Colapinto
Nov
15
2021
SEC Alleges Form 10 Was Misleading, But Is The SEC's Order Itself Misleading? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
12
2021
SEC Halts DAO’s Registration of Two Stable Tokens as Securities, Alleging Material Deficiencies in the Disclosure Proskauer Rose LLP
Nov
11
2021
DOL Sets New Tone on ESG Investing and Proxy Voting with Recently Proposed Rule K&L Gates
Nov
10
2021
SEC Awards More Than $15 Million to Two Whistleblowers Kohn, Kohn & Colapinto
Nov
10
2021
SEC Observes Compliance Deficiencies in Digital Investment Advisory Services Cadwalader, Wickersham & Taft LLP
Nov
10
2021
Exchange-Traded Fund and Its CPO Settle SEC and CFTC Charges of Inadequate Disclosure Cadwalader, Wickersham & Taft LLP
Nov
10
2021
SEC Halts Registration of Two Digital Tokens Cadwalader, Wickersham & Taft LLP
Nov
10
2021
SEC Commissioner Lee Reviews Scope of Reg BI in Light of Market Developments Cadwalader, Wickersham & Taft LLP
Nov
9
2021
Internal Affairs And Limited Partnerships Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
9
2021
The SEC Joins DOJ's War on Corporate Offenders Bracewell LLP
Nov
9
2021
SEC Commissioner Crenshaw Urges "Responsible Innovation" in the DeFi Market Cadwalader, Wickersham & Taft LLP
Nov
9
2021
SEC Enforcement Director Rejects "Regulation by Enforcement" Criticism Cadwalader, Wickersham & Taft LLP
Nov
8
2021
SEC Cryptocurrency Enforcement: Q3 2021 Update Cornerstone Research
Nov
8
2021
SEC Approves PCAOB Rule Implementing Holding Foreign Companies Accountable Act Cadwalader, Wickersham & Taft LLP
Nov
8
2021
SEC Proposes Expanding Electronic Filing Requirements on IARD and EDGAR Systems Cadwalader, Wickersham & Taft LLP
Nov
6
2021
SEC Releases Shareholder Proposal Staff Legal Bulletin Regarding Rule 14a-8 Under the Exchange Act Womble Bond Dickinson (US) LLP
Nov
5
2021
SEC Determines That Shareholder Climate Change Proposals Should Not Be Excluded Mintz
 

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