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
22
Jul
SEC’s Coinschedule Settlement Offers Mere “Clue-By-Enforcement” Into Whether Cryptocurrencies are Securities Proskauer Rose LLP
22
Jul
SEC Commissioner Pierce Criticizes Proposed ESG Regulations Mintz
22
Jul
When One Party's Professional Decides The Sufficiency Of That Party's Performance Allen Matkins Leck Gamble Mallory & Natsis LLP
21
Jul
SEC Whistleblower Earns $3 Million Payout for Alerting Commission to Securities Fraud Kohn, Kohn & Colapinto
21
Jul
As Use Of SPACs Increase $8 Million Settlement Cautions Due Diligence Barnes & Thornburg LLP
20
Jul
SEC Rule 10b5-1: Trading Plans, Recent Lessons and Likely Reforms to Come Vedder Price
20
Jul
SEC Appoints Climate Counsel to Policy Team Mintz
19
Jul
Supreme Court Remands Securities Class Action Against Goldman Sachs Back to Second Circuit K&L Gates
16
Jul
First National Cyber Director Formally Sworn In Hunton Andrews Kurth
16
Jul
When is a Token More Than a Token? SEC Settlement over Anti-Touting Provision Raises Familiar Questions Proskauer Rose LLP
16
Jul
SEC Whistleblower Issued Award of More Than $1 Million for Assistance in Investigation Kohn, Kohn & Colapinto
16
Jul
Supreme Court to Decide Whether the Automatic Stay of Discovery In Securities Act Claims Applies In State Court Epstein Becker & Green, P.C.
15
Jul
SEC Charges SPAC, Sponsor, Merger Target and Ceos for Misleading Disclosures McDermott Will & Emery
15
Jul
Securities Litigation Update: Courts of Appeals Weigh in on American Pipe Tolling and the Affiliated Ute Presumption of Reliance Cadwalader, Wickersham & Taft LLP
14
Jul
SEC Maintains Focus on ESG Disclosure Issues Mintz
14
Jul
Changing Winds on Disclosure: What to Expect from Increased ESG Disclosure Requirements Nelson Mullins
14
Jul
Biden Executive Order Strengthens and Expands U.S. Sanctions on Chinese Military Companies Miller Canfield
14
Jul
SEC Brings Significant SPAC Enforcement Action Winstead
14
Jul
Beneficial Owner Has No Right To Inspect Delaware Corporation's Books Under California Law Allen Matkins Leck Gamble Mallory & Natsis LLP
13
Jul
Senator Focuses on New Challenges Nelson Mullins
12
Jul
Senator Warren Sets Her Sights on New Foes – the SEC and the Cryptocurrency Industry Nelson Mullins
12
Jul
Cross-Border Transactions and International Investment: Potential Impact of President Biden’s Capital Gains Tax Proposal Norris McLaughlin P.A.
12
Jul
Order Management System’s SEC Settlement Leaves More Questions Than Answers on What Constitutes “Broker” Activity Vedder Price
12
Jul
Massachusetts Executive Order Permitting Massachusetts Public Companies to Hold Virtual-Only Shareholder Meetings to Expire Mintz
12
Jul
Nevada Supreme Court Finds Board Resolution In Merger Agreement Allen Matkins Leck Gamble Mallory & Natsis LLP
8
Jul
SEC Announces Broad Annual Regulatory Agenda Jones Walker LLP
7
Jul
SEC Settles Charges against Index Provider Related to Publication of Volatility-Related Index Vedder Price
7
Jul
SEC Approves the First Security-Based Swap Data Repository and Sets the Compliance Date for Regulation SBSR Vedder Price
7
Jul
Regulatory Agenda Highlights Potential SEC Rulemaking Topics Vedder Price
7
Jul
Kaseya Ransomware Update is NO surprise! Foley & Lardner LLP
6
Jul
Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings Proskauer Rose LLP
2
Jul
New SEC Presumption in Favor of Granting Maximum Award to Meritorious Whistleblowers Katz Banks Kumin LLP
2
Jul
Dollars and Sense: How to Integrate ESG into Compensation Programs Womble Bond Dickinson (US) LLP
1
Jul
Will Mandated ESG Disclosures Lead to Increased Litigation Risk? Bracewell LLP
1
Jul
Foreign Investments By Alternative Investment Funds Nishith Desai Associates
30
Jun
SEC Settles Charges Against Real Estate Services Company Over Control Failures Related to Cybersecurity Disclosure Hunton Andrews Kurth
30
Jun
Climate-Related Financial Risk: (Net) Zeroing in on Key Private Equity Considerations under the Biden Administration’s Executive Order Proskauer Rose LLP
30
Jun
SEC Raises Qualified Client Thresholds Vedder Price
30
Jun
CCPA Reporting Deadline Reminder Mintz
30
Jun
TransUnion v. Ramirez: New Standing Decision Presents Strategic Considerations for Class Action Defendants Robinson & Cole LLP
29
Jun
SEC Looking to Update Rules on Schedule 13D Disclosures McDermott Will & Emery
29
Jun
“C.T.A.,” NOT “Chicago” Norris McLaughlin P.A.
29
Jun
SEC Chairman Gensler Re-Affirms Focus on Climate Change Disclosures Mintz
29
Jun
SEC Commissioner Roisman Continues Critique of New Climate Change Disclosure Requirements Mintz
28
Jun
New Jersey Shareholder Oppression: Mismanagement Norris McLaughlin P.A.
25
Jun
The Colorado Privacy Act: How Does it Stack Up Against the VCDPA? Greenberg Traurig, LLP
25
Jun
Thinking Beyond the Law: Does the ISO 27701 Privacy Framework Use the Same Principles that Are Found Within the ISO 29011 Framework? Greenberg Traurig, LLP
24
Jun
The Only Thing to Fear is Fear Itself or Digital Asset Fund and Futures Nelson Mullins
24
Jun
Anonymous SEC Whistleblower Plays Key Role in Fraud Investigation, Receives $1 Million Award Kohn, Kohn & Colapinto
23
Jun
SCOTUS Finds While Defendants Carry the Burden of Proof in Overcoming Basic’s Presumption of Reliance, Defendants May Address the Generic-Nature of Alleged Misstatements at the Class Certification Stage Mintz
 

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