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
9
2022
 SEC’s New Executive Compensation Clawback Rules To Become Effective In January 2023 – What That Means For Public Companies Barnes & Thornburg LLP
Jan
23
2024
 SEC’s New Cybersecurity Disclosure Rules Wilson Elser Moskowitz Edelman & Dicker LLP
Sep
7
2023
 SEC’s Move on NFTs Continues Pattern of Case-by-Case Regulation Bracewell LLP
Oct
27
2017
 SEC’s Most Recent Cybersecurity Move: What Registered Investment Advisors Need to Know Polsinelli PC
Mar
23
2015
 SEC’s Limit on Retroactivity of Dodd-Frank Whistleblower Bounty Awards Is Reasonable, Second Circuit Holds Proskauer Rose LLP
Nov
28
2018
 SEC’s latest Cyber-Fraud ROI Indicates Future Enforcement Against Hacker Victims . . . Fool Me Twice Sheppard, Mullin, Richter & Hampton LLP
Apr
28
2015
 SEC’s Large Payouts to Compliance-Officer Whistleblowers Highlight Need for Companies to Pay Prompt Attention McDermott Will & Emery
Oct
18
2017
 SEC’s Investor Advisory Committee Talks DLT, Blockchain K&L Gates
Apr
19
2017
 SEC’s Investor Advisory Committee Airs Concerns Over Multi-Tiered Offerings Following Snap’s IPO Mintz
Jul
23
2015
 SEC’s Investment Management Division Has Some Things to Tell You about Cybersecurity Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Nov
12
2014
 SEC’s Increased Use of Administrative Proceedings Draws Criticism and Legal Challenges Mintz
Mar
27
2024
 SEC’s Increased Focus on “AI Washing”: Charges Announced Against Two Investment Advisers for Violations of the Marketing Rule K&L Gates
Mar
30
2016
 SEC’s High Priority Financial Reporting Cases Illustrate Importance of Verifying and Maintaining Rigorous Internal Controls Faegre Drinker
Jan
11
2024
 SEC’s Hacked X Account Leads to Tumultuous Bitcoin Market Robinson & Cole LLP
Aug
16
2021
 SEC’s French Order is First Ever Substituted Compliance Determination in Connection with Capital and Margin Requirements Sheppard, Mullin, Richter & Hampton LLP
May
10
2021
 SEC’s Focus on Climate and Environmental, Social and Governance Issues Katz Banks Kumin LLP
Apr
13
2017
 SEC’s Flawed Changes To Exchange Act Forms Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
8
2016
 SEC’s First Risk Alert of Fiscal Year 2017 Targets Registrant Rule 21F-17 Compliance Faegre Drinker
Jul
9
2014
 SEC’s First Dodd-Frank Whistleblower Enforcement [VIDEO] Proskauer Rose LLP
Jun
21
2019
 SEC’s FinHub Hosts Public Forum Polsinelli PC
May
25
2011
 SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions: Important Implications for Covered Entities Morgan, Lewis & Bockius LLP
Jun
10
2022
 SEC’s ESG Proposal Includes Proposed Reporting Requirement for All Index Funds—Whether ESG-Focused or Not Vedder Price
Jan
2
2024
 SEC’s Enforcement Director Comments on CCO Liability, Self-Reporting and Cooperation Vedder Price
Apr
18
2024
 SEC’s Enforcement Authority Over Crypto Asset Transactions Upheld (Again) in Case Against Coinbase Mintz
Aug
12
2021
 SEC’s Division of Examinations Publishes Risk Alert on Investment Adviser Principal and Cross Trading Practices Proskauer Rose LLP
Jun
1
2021
 SEC’s Division of Examinations Issues Risk Alert on ESG Investing Vedder Price
Jun
2
2021
 SEC’s Division of Examinations Issues Risk Alert Cautioning Firms to Comply with Suspicious Activity Monitoring and Reporting Vedder Price
Mar
27
2020
 SEC’s Division of Corporation Finance Provides Coronavirus (COVID-19) Disclosure Guidance Womble Bond Dickinson (US) LLP
Nov
20
2020
 SEC’s Division of Corporation Finance Issues Updated C&DI Regarding Equity Line Financings Katten
Apr
20
2012
 SEC’s Division of Corporation Finance Issues JOBS Act Guidance Hunton Andrews Kurth
Dec
15
2022
 SEC’s Division of Corporation Finance Heightens Expectations for Crypto Disclosures Cadwalader, Wickersham & Taft LLP
Aug
19
2015
 SEC’s Disclosure Requirement on Conflict Minerals Again Ruled Unconstitutional — What Now? Foley & Lardner LLP
Jul
1
2015
 SEC’s Data-Driven Analysis Identifies Allegedly Improper Trade Allocations by Investment Advisor Proskauer Rose LLP
May
12
2022
 SEC’s Crypto Assets and Cyber Unit Expands Its Reach to Cryptomining Nelson Mullins
Mar
6
2020
 SEC’s Conditional Regulatory Relief for Companies Affected by the Coronavirus (COVID-19) Robinson & Cole LLP
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