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.

Date Title Organization
4
Dec
SEC Announces Proposed Amendments to Rule 701 and Form S-8 Katten
4
Dec
CFTC MOU for Supervision of Cross-Border Firms & Timing Requirements for Certain SEF Reports Katten
4
Dec
SEC Proposes to Ease Restrictions on Compensatory Offerings to Employees, “Platform Workers” and Other Service Providers Womble Bond Dickinson (US) LLP
4
Dec
CFTC Staff Extends Existing Brexit-Related Relief to Provide Market Certainty & Temporary Relief to DTCC Data Repository LLC and Related Entities from Reporting Requirements Katten
4
Dec
SEC Staff Issues Statement Regarding Signature Requirements Katten
4
Dec
Nasdaq Seeks SEC Approval of Board Diversity Rule Katten
4
Dec
CFTC Adopts New Rules on Position Limits; SEC and CFTC Harmonize Minimum Margin Levels for Securities Futures Vedder Price
4
Dec
OCIE Shares Observations from Adviser Examinations under its Multi-Branch Initiative Vedder Price
4
Dec
SEC Eases Auditor Independence Rules Vedder Price
3
Dec
SEC Proposes Welcomed Amendments To Rule 701 and Form S-8 Bracewell LLP
3
Dec
CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021 Sheppard, Mullin, Richter & Hampton LLP
3
Dec
SEC Again Highlights Risks of Investing in Chinese Securities Barnes & Thornburg LLP
3
Dec
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs Proskauer Rose LLP
3
Dec
Are Diversity Riders Legal? Allen Matkins Leck Gamble Mallory & Natsis LLP
2
Dec
NASDAQ Proposes Board Diversity Requirements Bracewell LLP
2
Dec
SEC Amends MD&A Disclosure Rules and Trims Financial Disclosure Requirements Proskauer Rose LLP
2
Dec
DC Council Enacts Tax Fraud Whistleblower Qui Tam Law Zuckerman Law
2
Dec
Nasdaq Proposes New Listing Rules for Board Diversity Mintz
1
Dec
SEC Issues Joint Whistleblower Award of $6 Million to Individuals Key in Assisting Successful Enforcement Action Kohn, Kohn & Colapinto
1
Dec
The SEC’s CCO Guidance Month Faegre Drinker
1
Dec
SEC Modernizes Public Company MD&A and Other Financial Disclosure Requirements Godfrey & Kahn S.C.
1
Dec
SEC Harmonizes and Improves Exempt Offering Framework Godfrey & Kahn S.C.
1
Dec
Treasury Transparency: Enhanced Regulations for Trading in Government Securities Norris McLaughlin P.A.
1
Dec
I’m Your Huckleberry - SEC Staff Statement on WY Division of Banking’s Letter on Custody of Digital Assets Polsinelli PC
29
Nov
Key Trends: SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2020 Update Cornerstone Research
26
Nov
Much Ado About Vesting: Federal Court Clarifies Vesting Rule for Security Interests Granted by Companies That Have Successfully Restructured K&L Gates
26
Nov
SEC Responds to Wyoming’s Opinion on Custody of Digital Assets and Qualified Custodian Status Proskauer Rose LLP
26
Nov
Further Suspension of UK Wrongful Trading Laws Introduced Squire Patton Boggs (US) LLP
25
Nov
Channeling Claims: the Importance of Considering (and Updating) Exclusive Forum Provisions Now K&L Gates
25
Nov
OCIE Issues Risk Alert Regarding Advisers Act Compliance Rule Greenberg Traurig, LLP
24
Nov
SEC Adopts Final Rules to Modernize Financial Disclosure Requirements Womble Bond Dickinson (US) LLP
24
Nov
SEC Proposal to Exempt Finders from Registration Generates Split Reaction Sheppard, Mullin, Richter & Hampton LLP
24
Nov
The Pandemic Has Caused the Number of SEC Enforcement Actions to Decline Sharply in FY 2020 Faegre Drinker
23
Nov
SEC Adopts Rules to Facilitate Electronic Signatures on Edgar Filings K&L Gates
23
Nov
Good News for Fintechs: Taiwan Announces Plans to Streamline Payments Regulations K&L Gates
23
Nov
SEC Determines Digital Asset, VCOIN, Not a Security Hunton Andrews Kurth
21
Nov
Executive Summary: SEC Enforcement Activity: Public Companies and Subsidiaries Cornerstone Research
21
Nov
CFTC Extends Relief for SEFs From Certain Block Trade Requirements Katten
20
Nov
SEC’s Division of Corporation Finance Issues Updated C&DI Regarding Equity Line Financings Katten
20
Nov
SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways for Banks and Advisers K&L Gates
20
Nov
Financial Industry Regulatory Authority Arbitration of Employment Disputes Jackson Lewis P.C.
20
Nov
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings Katten
20
Nov
CFTC Unanimously Approves Final Rule Amending SEF Requirements Katten
20
Nov
SEC Division of Corporation Finance Releases Financial Reporting Manual Updates Katten
20
Nov
SEC Amends Exempt Offering Framework McDermott Will & Emery
20
Nov
OCIE Report Uncovers Repeated Compliance Issues At Advisers' Branch Offices Mintz
19
Nov
SEC Adopts Final Rules Improving and Harmonizing the Exempt Offering Framework Jones Walker LLP
19
Nov
Recent SEC Actions Easing Capital Raising Barriers for Smaller Issuers Varnum LLP
19
Nov
SEC Adopts Rule Changes to Promote Capital Investment and Harmonize Private Placement Framework K&L Gates
19
Nov
SEC Issues $900,000 Award to Whistleblower Who Reported Fraud Occurring Overseas Kohn, Kohn & Colapinto
 

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