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
Jun
1
2021
 SEC Staff Reaffirms Guidance for Conducting Shareholder Meetings during Pandemic Vedder Price
Jun
1
2021
 Game On: FINRA Hints at Upcoming Gamification Sweep Sheppard, Mullin, Richter & Hampton LLP
May
27
2021
 SEC Brings “Naked Short Selling” Case Winstead
May
27
2021
 NYSE Amends Related Party Transaction Approval Rule Mintz
May
27
2021
 Margin, I Have to Have More Margin: The National Securities Clearing Corporation Proposes to Increase the Minimum Required Fund Deposit Norris McLaughlin P.A.
May
27
2021
 Cleaning Up Crypto: How Whistleblowers Can Help Stop Cryptocurrency Scams, Money Laundering, and Tax Evasion, and Make Money Doing It Tycko & Zavareei LLP
May
27
2021
 Securities Litigation Update: First Circuit Endorses Broad View of Extraterritorial Reach of the Federal Securities Laws, Cementing Split with the Second Circuit on the Meaning of a “Domestic” Transaction Cadwalader, Wickersham & Taft LLP
May
26
2021
 NYSE Amends Shareholder Approval Rules Mintz
May
26
2021
 Review of the SEC Whistleblower Program: At the Crossroads of Securities Law and Whistleblower Protection Proskauer Rose LLP
May
26
2021
 “We are not going to be moving slowly” SEC Director on ESG Disclosure Requirements Kohn, Kohn & Colapinto
May
25
2021
 Data Integrity: The SEC Sanctions S & P Dow Jones Indices LLC Norris McLaughlin P.A.
May
25
2021
 2021 Q1 Amendments to Alternative Investment Funds Framework Nishith Desai Associates
May
25
2021
 ESG Status Quo Persists For Now, Gensler Signals Rulemaking Forthcoming Proskauer Rose LLP
May
24
2021
 SEC Staff Statement on Registered Funds Investing in Bitcoin Futures Foley & Lardner LLP
May
24
2021
 OCIE Adds ESG/SRI to Routine Adviser Exam Requests Foley & Lardner LLP
May
24
2021
 Whistleblower Awards from the U.S. Securities and Exchange Commission Barnes & Thornburg LLP
May
24
2021
 Blockchain & Digital Assets: Tax Audits, Litigation & Criminal Tax Defense Greenberg Traurig, LLP
May
24
2021
 Corporations Code Saves Church Property Allen Matkins Leck Gamble Mallory & Natsis LLP
May
20
2021
 Too Much Bother: Broker/Dealer Affiliate of An Insurer Catering to Retirement Plans Norris McLaughlin P.A.
May
20
2021
 SEC Awards Four Whistleblowers More Than $31 Million Proskauer Rose LLP
May
20
2021
 Ninth Circuit Holds Loss Causation Required For California Securities Claim Allen Matkins Leck Gamble Mallory & Natsis LLP
May
19
2021
 Whistleblower Receives $28 Million for Assisting SEC, Other Agency in Investigation into Company Kohn, Kohn & Colapinto
May
18
2021
 Under Armour Inc. Pulls Sales Forward, SEC and Stockholders Push Back Proskauer Rose LLP
May
18
2021
 Raising the Bar: SEC to Propose Increased Thresholds for Performance-Based Fees Norris McLaughlin P.A.
May
17
2021
 Underperforming SPAC Still Subject to Federal Claims in Securities Class Action Proskauer Rose LLP
May
14
2021
 SEC Staff of Division of Investment Management Issues Statement on Registered Funds Investing in Bitcoin Futures Vedder Price
May
14
2021
 ESG: European Commission Consults on Draft Delegated Regulation of Disclosure Obligations Under Taxonomy Regulation Katten
May
14
2021
 SEC Division of Investment Management Staff Publishes Public Statement on Funds Registered Under Investment Company Act Investing in Bitcoin Futures Market Katten
May
14
2021
 SEC Emerges as Main Regulator of Cryptocurrency Barnes & Thornburg LLP
May
13
2021
 SEC to Move Quickly on Proposed ESG Disclosures K&L Gates
May
13
2021
 An Overview of SEC Defense Oberheiden P.C.
May
13
2021
 Focus on ESG Will Continue to Grow Under Biden Administration Proskauer Rose LLP
May
13
2021
 SEC Staff Issues Statement on Bitcoin Futures Hunton Andrews Kurth
May
12
2021
 Upcoming/New; Post-Closing CFIUS Filing: Sina Corporation and TuSimple Holdings Inc. Squire Patton Boggs (US) LLP
May
12
2021
 Investment Adviser to Mutual Fund Cited for Undisclosed Conflicts Foley & Lardner LLP
May
12
2021
 Anonymous SEC Whistleblower Receives $3.6 Million Award Kohn, Kohn & Colapinto
May
12
2021
 SEC Cryptocurrency Enforcement—Q3 2013–Q4 2020 Cornerstone Research
May
12
2021
 SEC Awards $22 Million to Two Whistleblowers Proskauer Rose LLP
May
12
2021
 We’re Invested in What? Squire Patton Boggs (US) LLP
May
11
2021
 Friends and Family Fraud: LLC Does It Norris McLaughlin P.A.
May
11
2021
 First Circuit Adopts Prevailing Standard for Applicability of Federal Securities Laws to Foreign Investors, But Rejects Second Circuit’s Narrower Test Proskauer Rose LLP
May
10
2021
 SEC’s Focus on Climate and Environmental, Social and Governance Issues Katz Banks Kumin LLP
May
10
2021
 SEC Chairman Testifies About Digital Assets Hunton Andrews Kurth
May
6
2021
 The Dog Ate My Financials: Dissembling Filers Sanctioned by the SEC Norris McLaughlin P.A.
May
4
2021
 Failure to Cruise Past the Pleading Requirements in the Norwegian Cruise Lines Securities Class Action Proskauer Rose LLP
May
3
2021
 Aligning ESG and 10-K Disclosures: A Perspective from a Chief Legal Officer Bracewell LLP
May
3
2021
 May The Board Cancel A Declared Dividend? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
3
2021
 Cryptocurrencies and Other Digital Assets: A New Regime Proskauer Rose LLP
Apr
30
2021
 SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors Katten
Apr
30
2021
 Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement Katten
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