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
2020
 SEC Whistleblower Who Risked Personal Safety Receives $1.6 Million Award Kohn, Kohn & Colapinto
Dec
22
2020
 Nasdaq Board Diversity Proposal Highlights Importance of ESG Issues, Increased D&O Risks Hunton Andrews Kurth
Dec
18
2020
 SEC Amends Regulation S-T to Permit Electronic Signatures Foley & Lardner LLP
Dec
18
2020
 SEC Adopts Final Resource Extraction Disclosure Rules; Duplicative Regulation Clearing Agency Rule Katten
Dec
17
2020
 SEC Adopts Final Fund of Funds Rule Faegre Drinker
Dec
17
2020
 Cyberattack on SolarWinds Product Victimizes Public and Private Sector Targets Faegre Drinker
Dec
17
2020
 Guidance on the New York Regulations and Mandatory Filings with Electronic Filing Depository Greenberg Traurig, LLP
Dec
17
2020
 Does The SEC Grant Only Industry Requests? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2020
 “Gig” Workers May Become Eligible to Receive Equity Compensation Mintz
Dec
15
2020
 SEC Passes New Rule 2a-5 Regarding Fair Valuation Greenberg Traurig, LLP
Dec
15
2020
 5 Takeaways Regarding OCIE’s Focus on RIAs’ Handling of “Alt Data” Foley & Lardner LLP
Dec
15
2020
 When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance Norris McLaughlin P.A.
Dec
15
2020
 Supreme Court to Consider Securities Class Action Issue Proskauer Rose LLP
Dec
14
2020
 Auditor Receives SEC Whistleblower Award of More Than $300,000 Kohn, Kohn & Colapinto
Dec
14
2020
 Nasdaq Board Diversity Proposal Jones Walker LLP
Dec
12
2020
 SEC Announces Stand-Alone Office Focused on Innovation and Financial Technology & Rules to Modernize Infrastructure for NMS Market Data Katten
Dec
11
2020
 CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals Katten
Dec
11
2020
 CFTC Interprets and Issues No-action Relief from Certain Clearing and Trade Execution Requirements & Provides Further Brexit-Related Relief to Provide Market Certainty Katten
Dec
11
2020
 CFTC Approves Final Rules Regarding Electronic Trading Risk Principles and Bankruptcy Regulations & Organizational Changes Katten
Dec
10
2020
 Nasdaq Proposal to Adopt Listing Rules Related to Board Diversity Winstead
Dec
9
2020
 CFTC Enforcement Division Reports Most Active Year to Date Faegre Drinker
Dec
9
2020
 Nasdaq Proposed Rule Would Require Board Diversity and Transparency Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Dec
9
2020
 SEC Sends Warning Shot on COVID-Impact Disclosures Bracewell LLP
Dec
8
2020
 SEC Adopts Amendments to Management’s Discussion and Analysis and Other Financial Disclosures Cadwalader, Wickersham & Taft LLP
Dec
8
2020
 Meeting Specified Standards: the SEC’s OCIE Assesses Compliance Norris McLaughlin P.A.
Dec
8
2020
 Keeping Up With the Times: SEC Proposes to Modernize Ability of Companies to Grant Equity Compensation K&L Gates
Dec
8
2020
 The Cheesecake Factory has settled charges with the SEC for Misleading COVID-19 Disclosures Polsinelli PC
Dec
8
2020
 An Early Holiday for Gig Workers: SEC Proposes to Expand Ability of Companies to Grant Equity Compensation to Gig Economy K&L Gates
Dec
7
2020
 New York Guidance on Mandatory Filing of Form D Mintz
Dec
7
2020
 SEC Adopts Amendments to MD&A and Other Financial Disclosures Katten
Dec
7
2020
 Cheesecake Factory’s SEC Fines Are Latest D&O Liability to Stem from COVID-19 Pandemic Hunton Andrews Kurth
Dec
5
2020
 Number of Filings and Public Company and Subsidiary SEC Actions: An Excerpt from SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2020 Update Cornerstone Research
Dec
5
2020
 Division of Corporation Finance Issues Disclosure Consideration for China-Based Issuers Katten
Dec
4
2020
 SEC Announces Proposed Amendments to Rule 701 and Form S-8 Katten
Dec
4
2020
 CFTC MOU for Supervision of Cross-Border Firms & Timing Requirements for Certain SEF Reports Katten
Dec
4
2020
 SEC Proposes to Ease Restrictions on Compensatory Offerings to Employees, “Platform Workers” and Other Service Providers Womble Bond Dickinson (US) LLP
Dec
4
2020
 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
Dec
4
2020
 SEC Staff Issues Statement Regarding Signature Requirements Katten
Dec
4
2020
 Nasdaq Seeks SEC Approval of Board Diversity Rule Katten
Dec
4
2020
 CFTC Adopts New Rules on Position Limits; SEC and CFTC Harmonize Minimum Margin Levels for Securities Futures Vedder Price
Dec
4
2020
 OCIE Shares Observations from Adviser Examinations under its Multi-Branch Initiative Vedder Price
Dec
4
2020
 SEC Eases Auditor Independence Rules Vedder Price
Dec
3
2020
 SEC Proposes Welcomed Amendments To Rule 701 and Form S-8 Bracewell LLP
Dec
3
2020
 CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021 Sheppard, Mullin, Richter & Hampton LLP
Dec
3
2020
 SEC Again Highlights Risks of Investing in Chinese Securities Barnes & Thornburg LLP
Dec
3
2020
 OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs Proskauer Rose LLP
Dec
3
2020
 Are Diversity Riders Legal? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2020
 NASDAQ Proposes Board Diversity Requirements Bracewell LLP
Dec
2
2020
 SEC Amends MD&A Disclosure Rules and Trims Financial Disclosure Requirements Proskauer Rose LLP
Dec
2
2020
 DC Council Enacts Tax Fraud Whistleblower Qui Tam Law Zuckerman Law
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