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
22
2023
 The SEC's Treasury Clearing Mandate Katten
Dec
21
2023
 Through These Many Years, I Continue To Perseverate On Whether Coal Is A Mineral Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
21
2023
 Court Vacates SEC’s New Share Repurchase Disclosure Rules Mintz
Dec
21
2023
 Top 10 Blog Posts for the Workplace Privacy, Data Management & Security Report for 2023 Jackson Lewis P.C.
Dec
20
2023
 The SEC’s New Corporate Buy-Back Rules Have Been Formally Vacated By the U.S. 5th Circuit Court of Appeals: Issuers May Suspend Plans to Comply But Should Consider Providing Some Additional Voluntary Disclosures on the Subject Proskauer Rose LLP
Dec
20
2023
 SEC’s New Rules for Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Go into Effect ArentFox Schiff LLP
Dec
19
2023
 SEC Brings Enforcement Actions to Remedy Improper Contractual Limitations on Whistleblower Activities Goulston & Storrs
Dec
19
2023
 Foreign Listed Stock Index Futures and Options Approvals December 2023 Katten
Dec
18
2023
 SEC Cyber 8-K Rules Effective Today Hunton Andrews Kurth
Dec
18
2023
 SEC Chair Doubles Down on AI Conflict of Interest Rules, Warns Firms Not to “AI-Wash” — AI: The Washington Report Mintz
Dec
18
2023
 ICMA’s Code of Conduct for ESG Ratings and Data Products Providers – A Step Towards Consistent Global Standards K&L Gates
Dec
15
2023
 SEC Adopts New Short Sale Disclosure Rule Proskauer Rose LLP
Dec
15
2023
 SEC Adopts New Securities Lending Reporting Rule Proskauer Rose LLP
Dec
15
2023
 Requirement for Enhanced Share Repurchase Disclosures in Periodic Reports Delayed McDermott Will & Emery
Dec
15
2023
 Two Individuals Indicted for Operating $25 Million Crypto-Fraud ArentFox Schiff LLP
Dec
14
2023
 SEC Sued Over New Short Sales and Securities Lending Disclosure Rules: Second Lawsuit Filed This Year in 5th Circuit Challenging SEC Action Proskauer Rose LLP
Dec
14
2023
 FINRA Acts to Update its Advertising Rule Katten
Dec
14
2023
 6 Tips for Selecting a Florida Whistleblower Attorney Oberheiden P.C.
Dec
14
2023
 Blockchain+ Bi-Weekly December 14, 2023 Polsinelli PC
Dec
13
2023
 What Every Multinational Company Should Know About . . . Implementing an International Compliance Program (Part II) Foley & Lardner LLP
Dec
13
2023
 To Check the Box or Not to Check the Box? That is the Question Barnes & Thornburg LLP
Dec
12
2023
 HHS Proposes Plan to Advance Cyber Resiliency in Health Care; OCR Settles Phishing Attack Investigation Mintz
Dec
11
2023
 FINRA Arbitration Defense Strategies Oberheiden P.C.
Dec
8
2023
 Climate Disclosures Continuing to Increase Among Major Companies Mintz
Dec
8
2023
 Top 10 ESG Developments for 2023 ArentFox Schiff LLP
Dec
8
2023
 SEC Expected to Vote on Proposed Climate Disclosures by April 2024 Mintz
Dec
7
2023
 SEC Adopts New Rule Prohibiting Conflicts of Interest in Certain Securitizations Proskauer Rose LLP
Dec
7
2023
 Question of the Week: What Do You Expect the Biggest Impacts of Generative AI (GenAI) to be on M&A in the Next 12-18 Months? Proskauer Rose LLP
Dec
7
2023
 The BR Privacy & Security Download: December 2023 Blank Rome LLP
Dec
7
2023
 What is AI Washing? The SEC’s Latest Target Bracewell LLP
Dec
6
2023
 District Court Quickly Reinstates Class Certification in Marriott Data Breach Litigation Squire Patton Boggs (US) LLP
Dec
6
2023
 SEC Division of Examinations 2024 Priorities Greenberg Traurig, LLP
Dec
6
2023
 SEC Adopts a Rule Prohibiting Conflicts of Interest in Certain Securitizations Cadwalader, Wickersham & Taft LLP
Dec
5
2023
 Network Topology and Network Mapping: The NIST Cybersecurity Framework – Part 2 Bradley Arant Boult Cummings LLP
Dec
5
2023
 New FTC Resolution Confirms Commission’s Intent to Regulate AI and Paves the Way for Future Investigations and Enforcement Actions Proskauer Rose LLP
Dec
5
2023
 Effect of the New NYSE and Nasdaq Clawback Listing Standards on Registered Funds and BDCs Proskauer Rose LLP
Dec
5
2023
 FINRA Proposes to Amend Rule 2210 to Permit Projected Performance and Targeted Returns in Institutional Communications Proskauer Rose LLP
Dec
5
2023
 Update: SEC Stays Effectiveness of New Buyback Rules Proskauer Rose LLP
Dec
5
2023
 Corrupt Power: SEC Sanctions Utility and Sues CEO for Paying Bribes Norris McLaughlin P.A.
Dec
4
2023
 Federal Government Continues Its Big Push for Cybersecurity with SEC Action Against SolarWinds and Its CISO Bradley Arant Boult Cummings LLP
Dec
4
2023
 SEC Share Repurchase Rules on Hold (For Now) Barnes & Thornburg LLP
Dec
4
2023
 New York “Denies Access” to Employers Seeking Login Credentials for Employee’s Social Media Accounts Foley & Lardner LLP
Dec
4
2023
 Ten Minute Interview: Cybersecurity Attacks [VIDEO] Foley & Lardner LLP
Dec
4
2023
 Energy & Sustainability Litigation Updates — December 2023 Mintz
Dec
4
2023
 Financial Incentives for Sanctions Evasion Whistleblowers Supercharge Sanctions Enforcement and Strengthen National Security Zuckerman Law
Dec
2
2023
 SEC Adopts Final Rules to Enhance Cybersecurity Disclosure [PODCAST] Womble Bond Dickinson (US) LLP
Dec
1
2023
 What is the Impact of a Whistleblower’s Job Duties on Whistleblower Reward Eligibility? [Video] Zuckerman Law
Dec
1
2023
 Despite Record Year, SEC Must Improve Whistleblower Program to Align with White House Anti-Corruption Initiative Kohn, Kohn & Colapinto
Dec
1
2023
 Court Rules Director Of California Corporation Has A Duty To Disclose When Soliciting Consents Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
1
2023
 Minimal Changes as New York DFS Final Coin Listing Guidance Takes Effect Barnes & Thornburg LLP
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