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
May
3
2022
 Conflicts of Interest: How High Will the Bar be Raised? Proskauer Rose LLP
Jan
5
2022
 Confusion Abounds Over Scope Of Debt Collection Licensing Act Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
26
2010
 Congo Conflict Minerals Legislation Passes Congress: Affects Technology, Automotive, Mining, Jewelry, and Aerospace Companies Foley Hoag LLP
Feb
5
2021
 Congress Amends Exchange Act Of 1934 To Address Disgorgement Penalties In Defense Spending Bill Polsinelli PC
Jul
27
2023
 Congress and the White House May Restrict U.S. Investments in Certain Chinese Industries Greenberg Traurig, LLP
Jan
30
2023
 Congress Codifies Longstanding M&A Broker Exemption from SEC Registration Greenberg Traurig, LLP
Dec
21
2014
 Congress Eases Debt Level Restrictions for Smaller Banks, Thrifts Katten
Feb
15
2023
 Congress Enacts M&A Broker But What About George Babbit? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
11
2021
 Congress Extending the SEC Statute of Limitations to 10 Years?!! Faegre Drinker
Dec
23
2022
 Congress Overhauls Merger Filing Fees and Thresholds McDermott Will & Emery
Dec
21
2017
 Congress Passes Final Tax Reform Bill Sheppard, Mullin, Richter & Hampton LLP
Jul
25
2010
 Congress Passes Legislation Requiring Oil, Gas and Mining Companies to Report Payments to Government Foley Hoag LLP
Jan
11
2021
 Congress Passes NDAA Legislation Extending SEC’s Disgorgement Powers Foley & Lardner LLP
Jul
17
2010
 Congress Passes Sweeping Financial Reform Bill Michael Best & Friedrich LLP
Mar
31
2012
 Congress Passes the JOBS Act ArentFox Schiff LLP
Mar
28
2012
 Congress Passes the JOBS Act to Ease IPO Process for “Emerging Growth Companies” and Enhance Capital Formation Hunton Andrews Kurth
Mar
30
2012
 Congress Passes the JOBS Act to Simplify Capital Formation Morgan, Lewis & Bockius LLP
Jan
8
2016
 Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units Katten
Aug
17
2023
 Congress to Examine Political Activities of Nonprofits ArentFox Schiff LLP
Sep
20
2023
 Congress to Increase Funds for Artificial Intelligence Capabilities in Fiscal Year 2024 K&L Gates
Mar
14
2016
 Congress to Receive CFPB Semi-Annual Report; SEC, Other Nominees See Movement As Financial Services Regulators Make Final Push Squire Patton Boggs (US) LLP
May
1
2017
 Congress to Vote on Funding Bill; House to Consider North Korea Sanctions Legislation Squire Patton Boggs (US) LLP
Sep
16
2013
 Congress Wants To Ban Felons While California Doesn’t Want To Ask Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
28
2023
 Congressional Democrats Pressure the SEC to Maintain a Robust Climate Disclosure Rule, Including Scope 3 Emissions Mintz
Apr
11
2024
 Congressional Republicans Seek to Overturn SEC Mandatory Climate Disclosure Rule Mintz
Dec
16
2015
 Congressional Spending Bill Shuts Down Key Goals of Campaign Finance Reform Community Covington & Burling LLP
Dec
9
2015
 Congress’ Strange New Secondary Trading Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
18
2023
 Connecticut Adds Protections for Health Data and Minors to Privacy Law Jackson Lewis P.C.
Jul
20
2023
 Connecticut Poised to Become Fifth State to Enact Comprehensive Consumer Data Privacy Law Foley & Lardner LLP
May
28
2014
 Conscious Parallelism May Justify A Wolf Pack Pill re: Corporate Activist Shareholders Covington & Burling LLP
Jun
24
2015
 Consequences of Waiving Attorney-Client Privilege Mintz
Dec
18
2013
 Considerations for 2014 Proxy Season and Beyond Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2023
 Considerations for Administrative Agents ‘Fronting’ Funds Cadwalader, Wickersham & Taft LLP
Dec
13
2022
 Considerations for Public Company Bylaw Amendments in View of the New SEC Universal Proxy Rules Greenberg Traurig, LLP
Mar
5
2013
 Considerations in Underwriting the Financial Gap Between Filing and Approval of the I-526 Petition Greenberg Traurig, LLP
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