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
Apr
9
2021
 Jane Norberg To Step Down After Years of Success as Chief of SEC Whistleblower Office Kohn, Kohn & Colapinto
Apr
9
2021
 Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers Katten
Apr
9
2021
 April 2021 Investment Management Legal and Regulatory Update Godfrey & Kahn S.C.
Apr
9
2021
 What Will the SEC's ESG Enforcement Look Like? Cyber Cases Offer Clues Bracewell LLP
Apr
8
2021
 SEC Creates Climate Change and ESG Website to Act as Central Hub for Agency Action and Information Bracewell LLP
Apr
7
2021
 SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption? Winstead
Apr
6
2021
 Valuation in Times of Market Disruption Proskauer Rose LLP
Apr
6
2021
 SEC Demonstrates Commitment to Protecting Whistleblowers Katz Banks Kumin LLP
Apr
6
2021
 Does The CSL Observe "No Harm, No Foul"? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
5
2021
 Surge in SPACtivity Leads to Litigation and Regulatory Risks McDermott Will & Emery
Apr
5
2021
 SEC Ventures Into The Dark Web, But Can It Establish A Connection? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
2
2021
 SEC Discloses Its Recommendations on Key Issues for Private Companies Weighing SPAC Transactions Mintz
Mar
31
2021
 ESG/SEC Disclosure and Implications [VIDEO] Bracewell LLP
Mar
31
2021
 Health Care Enforcement Update: Covid-19 Fraud Cases Brought By DOJ And Private Plaintiffs Mintz
Mar
31
2021
 Environmental, Social and Corporate Governance: What are the Risks, Really? Hunton Andrews Kurth
Mar
31
2021
 To SPAC or not to SPAC -- Key Considerations for Mid-Sized Private Equity Managers about the SPAC Process (Part 1) K&L Gates
Mar
31
2021
 Changes to AIFMD Marketing Rules from August 2021 – How will these New Rules Impact Fund Managers? Proskauer Rose LLP
Mar
30
2021
 Post-SPAC Technology Company Hit with Securities Class Action Proskauer Rose LLP
Mar
30
2021
 What Happens Abroad, Apparently Does Not Stay Abroad – DOL Revokes Trump Administration Guidance That Provided Relief to QPAMs for Convictions Under Foreign Law Proskauer Rose LLP
Mar
30
2021
 Polarizing Panel Suggests No Easy Road to Final ESG Regulatory Scheme Proskauer Rose LLP
Mar
30
2021
 Under the Cover of Darkness: Insider Trading and the Dark Web Norris McLaughlin P.A.
Mar
30
2021
 SEC Whistleblower Office Surpasses Record Number of Claimants Rewarded in a Fiscal Year with $500,000 Award Kohn, Kohn & Colapinto
Mar
30
2021
 SEC Seeks Public Input on Potential Changes to Climate Risk Reporting Beveridge & Diamond PC
Mar
30
2021
 Supreme Court to Weigh in on Presumption of Reliance in Securities Class Actions: Goldman Sachs v. Arkansas Teacher Retirement System Cadwalader, Wickersham & Taft LLP
Mar
30
2021
 European Regulators Publish Joint Opinion on the Jurisdictional Scope of the EU Securitisation Regulation Cadwalader, Wickersham & Taft LLP
Mar
26
2021
 2021’s Continued SPAC Boom Invites Heightened SEC Scrutiny of SPAC Transactions Mintz
Mar
26
2021
 SEC Movement on ESG Disclosures: SEC and Investors Enhance Focus on Climate Change and Other ESG Disclosures Foley & Lardner LLP
Mar
26
2021
 Decision Diagnostics Saga Continues as Investors Bring Suit Proskauer Rose LLP
Mar
26
2021
 SEC News from Katten's Corporate & Financial Weekly Digest - Week of March 26 Katten
Mar
26
2021
 2021 SEC Examination Priorities for Securities Industry Registrants Greenberg Traurig, LLP
Mar
25
2021
 Nasdaq Board Diversity Proposals Update: SEC Issues Notice of Amendments and Establishes Proceedings To Move Forward Bracewell LLP
Mar
25
2021
 Beware the Ides of March: SEC Requests Comments on Climate Disclosure Norris McLaughlin P.A.
Mar
25
2021
 The CFTC: An Increasingly Necessary Agency for Combatting International Fraud Kohn, Kohn & Colapinto
Mar
25
2021
 Nasdaq And The SEC Both Can't Be Correct Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
25
2021
 Nasdaq Amends Proposed Rule on Board Diversity to Provide Compliance Flexibility Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Mar
24
2021
 Increased Regulatory Scrutiny of Private Funds Proskauer Rose LLP
Mar
24
2021
 Recent Climate and ESG Disclosure Activity — What does it mean for the SEC’s Conflict Minerals Rule? Squire Patton Boggs (US) LLP
Mar
22
2021
 SEC Proposes Amendments to Rule 144 Jones Walker LLP
Mar
22
2021
 The First Quarter of 2021 Provides a Glimpse into the Future of SEC Enforcement Jones Walker LLP
Mar
22
2021
 The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest Katten
Mar
20
2021
 Securities Class Action Settlements Stay on Pace Despite Pandemic Cornerstone Research
Mar
19
2021
 Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures Katten
Mar
19
2021
 The Investment Company Act - What Does Tonopah Have To Do With It? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
18
2021
 SEC Commissioner Calls for a Brave New Approach to Corporate Penalties Sheppard, Mullin, Richter & Hampton LLP
Mar
18
2021
 Bipartisan Bill to Exclude Digital Tokens from Federal Securities Laws Hunton Andrews Kurth
Mar
17
2021
 SEC Underscores ESG Disclosure and Compliance Priorities Bracewell LLP
Mar
17
2021
 SEC Division of Examinations Announces 2021 Examination Priorities Polsinelli PC
Mar
17
2021
 Sellers Beware: Fiduciary Duty Risks to Directors Sheppard, Mullin, Richter & Hampton LLP
Mar
16
2021
 SEC Division of Examinations Announces 2021 Examination Priorities Proskauer Rose LLP
Mar
16
2021
 The SEC Turns Its Attention to Climate and Environmental Enforcement Kohn, Kohn & Colapinto
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