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
Jan
20
2021
 Shining a Spotlight on ESG Disclosures in the Biden Administration Proskauer Rose LLP
Jan
19
2021
 $125 Million Deutsche Bank Settlement with SEC/DOJ Newest in Line of Several Costly Resolutions Faegre Drinker
Jan
19
2021
 President Biden Announces Gary Gensler as SEC Chair Nominee Faegre Drinker
Jan
19
2021
 What Type Of Crime Is Securities Fraud In California? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
18
2021
 Pilgrim’s Pride Settles Poultry Price-Fixing Charges MoginRubin
Jan
15
2021
 FINRA Postpones Implementation of Mandatory Margin for Covered Agency Transactions Katten
Jan
15
2021
 SEC Issues No-Action Letter Regarding Institutional Family Offices Katten
Jan
15
2021
 Cakes Gone Bad: The Cheesecake Factory Faces Securities Scrutiny Proskauer Rose LLP
Jan
14
2021
 SEC Whistleblower Program Surpasses Record Amount of Awards Granted in a Fiscal Year Kohn, Kohn & Colapinto
Jan
14
2021
 Taming the Elephants: SEC Jumbo Trader Risk Alert Norris McLaughlin P.A.
Jan
14
2021
 Half a Loaf: Congress Extends the Statute of Limitations on Some SEC Remedies Barnes & Thornburg LLP
Jan
13
2021
 Supreme Court Asks Second Circuit to Reconsider Ruling in Insider Trading Prosecution Polsinelli PC
Jan
13
2021
 A Proxy Season and Annual Report Guide to 2021 Dinsmore & Shohl LLP
Jan
12
2021
 SEC Amends Advertising and Solicitation Rules: Numerous Changes to Start Digesting and Implementing. Stark & Stark
Jan
12
2021
 How Companies Can Prepare for SEC Proxy Advisor Reform Mintz
Jan
11
2021
 Congress Passes NDAA Legislation Extending SEC’s Disgorgement Powers Foley & Lardner LLP
Jan
11
2021
 Congress Extending the SEC Statute of Limitations to 10 Years?!! Faegre Drinker
Jan
8
2021
 Division of Examinations Issues Risk Alert on Securities Investment that Finance Communist Chinese Military Companies Foley & Lardner LLP
Jan
8
2021
 SEC Digital Asset Securities, Internal Security-Based Swaps Joint Venture Statements Katten
Jan
8
2021
 SEC Again Approves NYSE’s Direct Listing Rules Katten
Jan
8
2021
 SEC Issues Five Whistleblower Awards Totaling Over $1.1 Million Kohn, Kohn & Colapinto
Jan
8
2021
 SEC Proposes Rule 144 Tacking Amendments Katten
Jan
8
2021
 CFTC Staff Provides Temporary Relief to Futures Commission Merchants Regarding Certain SOFR-Linked Investments Katten
Jan
8
2021
 CFTC Provides Relief to DCOs from New Daily Reporting Requirements Katten
Jan
8
2021
 Elad Roisman Named Acting Chairman of SEC Katten
Jan
8
2021
 Valuation of AIFS in India VS Funds in the US Nishith Desai Associates
Jan
7
2021
 "Gig" Workers May Become Eligible to Receive Equity Compensation Mintz
Jan
7
2021
 Tacking When Floating and Other Proposed Amendments to SEC Rule 144 Norris McLaughlin P.A.
Jan
7
2021
 SEC Proposes Changes to Modernize and Simplify Equity Compensation Rules and Registration Obligations Polsinelli PC
Jan
6
2021
 Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement Winstead
Jan
6
2021
 ESG Investing and Retirement Plans Bracewell LLP
Jan
6
2021
 SolarWinds Government Data Breach Leads to Securities Action Proskauer Rose LLP
Jan
6
2021
 If You Are Looking To Be Taken Seriously, Write To The SEC And Be Prepared For A Wait Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
5
2021
 U.S. Set to Bar Investments in Communist Chinese Military Companies Stark & Stark
Jan
5
2021
 Felling Goliaths: ICE, Prudential, and the SEC Slingshot Norris McLaughlin P.A.
Jan
5
2021
 SEC Finalizes Updates to Advertising and Cash Solicitation Rules Vedder Price
Jan
5
2021
 UPDATED: The Reauthorization and Revival of the Paycheck Protection Program and Economic Injury Disaster Loan Program under the Economic Aid to Hard-Hit Small Businesses, Nonprofits, and Venues Act Sheppard, Mullin, Richter & Hampton LLP
Jan
4
2021
 A New Year’s Booster Shot: Congress Grants the SEC a Statutory Disgorgement Remedy and Extended Statute of Limitations Cadwalader, Wickersham & Taft LLP
Jan
4
2021
 U.S. Prohibits Trading in Securities of Communist Chinese Military Companies, but NYSE Reverses Plan to Delist Greenberg Traurig, LLP
Jan
4
2021
 SEC Adopts New Framework for Fund Valuation Vedder Price
Dec
31
2020
 Letting Qualified Experts Expand the Pink to Avoid the Grey: Proposed Conditional Waiver to SEC Rule 15c2-11 Norris McLaughlin P.A.
Dec
31
2020
 SEC Proposes Revisions to Rule 144 and Form 144 K&L Gates
Dec
29
2020
 Direct Listing on the New York Stock Exchange: “Undertaking” the Underwriter REDUX Norris McLaughlin P.A.
Dec
29
2020
 During Biden Administration, SEC will require Climate Change Risk and ESG Disclosure Mintz
Dec
29
2020
 SPAC Disclosures – SEC Focuses in on Conflicts of Interests Proskauer Rose LLP
Dec
23
2020
 The View From Across the Pond — UK/EU Updates Katten
Dec
23
2020
 Securitization Disclosure and Document Updates for 2020 and 2021 Katten
Dec
23
2020
 The $180 Million Chinese Coffee Case for Attempting to Manage Earnings Faegre Drinker
Dec
22
2020
 SEC Adopts Modernized Marketing Rule for Investment Advisers Foley & Lardner LLP
Dec
22
2020
 SEC Whistleblower Who Risked Personal Safety Receives $1.6 Million Award Kohn, Kohn & Colapinto
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