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
Oct
19
2023
 California Enacts Digital Financial Assets Law Hunton Andrews Kurth
Oct
18
2023
 Words Matter: Three Key Steps to Mitigate SEC Enforcement Risks Relating to Whistleblower Carveout Language Proskauer Rose LLP
Oct
18
2023
 Recommendations for Managing Cybersecurity Threats in the Manufacturing Sector Foley & Lardner LLP
Oct
18
2023
 Bill Would Authorize DFPI To Take Enforcement Actions Before a Violation Occurs Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
18
2023
 SEC Adopts Meaningless And Ambiguous "Reasonably Likely" Standard In New Cybersecurity Incident Disclosure Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
17
2023
 What Is Going On With the Economy and What Does It Mean for the Municipal Market? ArentFox Schiff LLP
Oct
17
2023
 A Form D Is Not A Registration Statement And Why It Might Matter Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
17
2023
 SEC Announces Crypto Examination Priorities Hunton Andrews Kurth
Oct
17
2023
 Securities Lending Reform: Daily Public Reporting of Aggregate Loan Amounts in 2026 K&L Gates
Oct
17
2023
 California Introduces New Diversity Disclosure Obligations for Venture Capital Companies ArentFox Schiff LLP
Oct
16
2023
 Australia: Licensing Comes to the Crypto Industry K&L Gates
Oct
16
2023
 SEC Announces Charges Against Insiders for Reporting Failures and Adopts Amendments to Schedule 13D and 13G Report Filing Timelines Sheppard, Mullin, Richter & Hampton LLP
Oct
16
2023
 Regulatory Update and Recent SEC Actions October 2023 Blank Rome LLP
Oct
16
2023
 The Manifold Compliance Challenges of Foreign Security Futures Katten
Oct
13
2023
 October Forecast: A Busy Month for Climate Change-Related Regulation and Insurers McDermott Will & Emery
Oct
13
2023
 SEC Adopts Changes to Schedule 13D and Schedule 13G Foley & Lardner LLP
Oct
13
2023
 SCOTUS Cert Recap: SCOTUS Adds 12 Cases To Docket, Including On Free Speech, Takings, Constitutional Remedies, And Claim Accrual Barnes & Thornburg LLP
Oct
12
2023
 SEC Modernizes Beneficial Ownership Reporting Bracewell LLP
Oct
12
2023
 SEC Adopts Amendments to and Issues Guidance Regarding Beneficial Ownership Reporting Requirements Jones Walker LLP
Oct
12
2023
 SEC Adopts Amendments Modernizing Beneficial Ownership Reporting K&L Gates
Oct
12
2023
 Jurisdictional Boundaries Between CFTC Swaps and SEC Security-Based Swaps Clarified Cadwalader, Wickersham & Taft LLP
Oct
12
2023
 Web-Based Generative AI Tools Use Temporarily Prohibited by U.S. Space Force Robinson & Cole LLP
Oct
12
2023
 Update on CPRA Regulations for Cybersecurity Audits and Risk Assessments from the CPPA Robinson & Cole LLP
Oct
12
2023
 Is Your Board Cyber-Ready? Leadership Steps to Support Corporate Cybersecurity Jackson Lewis P.C.
Oct
11
2023
 FinCEN Extends Deadline For Beneficial Owner Reporting Barnes & Thornburg LLP
Oct
11
2023
 Navigating OFAC Settlements: An In-Depth Analysis of Sanctions Violations and Compliance Lessons Bradley Arant Boult Cummings LLP
Oct
11
2023
 Massachusetts Adopts Single-Sales-Factor Apportionment; Manufacturing Classification Becomes Less Controversial McDermott Will & Emery
Oct
11
2023
 SEC Adopts Amendments to Beneficial Ownership Reporting K&L Gates
Oct
11
2023
 Employment Law this Week Episode 318 - SEC Cracks Down on Private Companies for Violating Whistleblower Protections [Podcast, Video] Epstein Becker & Green, P.C.
Oct
11
2023
 California Enacts Law Mandating Climate-Related Financial Risk Reporting Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
10
2023
 Recent Settlements Provide Insight on the SEC's Approach to Self-Reporting and Cooperation Credit in Enforcement Actions K&L Gates
Oct
10
2023
 SEC Broadens Scrutiny of Employment and Separation Agreements Under Whistleblower Rule Greenberg Traurig, LLP
Oct
10
2023
 Weekly Bankruptcy Alert October 10, 2023 (For the Week Ending October 8, 2023) Pierce Atwood LLP
Oct
10
2023
 SEC Adopts Amendments to 'Names Rule' Impacting Regulated Investment Funds Katten
Oct
10
2023
 Despite Admittedly "Problematic Provisions" Governor Newsom Signs Venture Capital Disclosure Bill Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
9
2023
 Advanced Air Mobility: Busy Skies Ahead K&L Gates
Oct
9
2023
 California Enacts First-of-Their-Kind Laws Requiring Corporate Climate Disclosures Greenberg Traurig, LLP
Oct
9
2023
 The US Securities & Exchange Commission Targets AI on Multiple Fronts: AI Sweep Examination Mintz
Oct
9
2023
 Crypto Fraud Corrections: When the “Blue Wall” is Pierced Norris McLaughlin P.A.
Oct
6
2023
 EPA Ramps Up Climate Enforcement Beveridge & Diamond PC
Oct
6
2023
 Fed Issues FAQs Clarifying That Credit-Linked Notes Can Serve as Valid Capital Relief Tools for U.S. Banks Cadwalader, Wickersham & Taft LLP
Oct
6
2023
 Win the Bid – What’s Next in Moving On? Cadwalader, Wickersham & Taft LLP
Oct
5
2023
 China Will Issue Safe Harbor Rules to Facilitate Cross-Border Data Flow K&L Gates
Oct
5
2023
 Blockchain+ Bi-Weekly - October 5, 2023 Polsinelli PC
Oct
5
2023
 Whom Should The Law Protect - The Borrower/Issuer Or Lender/Purchaser? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
5
2023
 The Dual Licensing Regime for Virtual Asset Trading Platforms in Hong Kong – Part 3 K&L Gates
Oct
4
2023
 Compliance Dates Are Set: A Roadmap for Private Fund Advisers to Start Preparing for the SEC’s New Rules for Private Fund Advisers Mintz
Oct
4
2023
 Albermarle Agrees to Pay $218 Million to Settle Foreign Bribery Probe Sheppard, Mullin, Richter & Hampton LLP
Oct
3
2023
 SEC Comment Period on Proposed AI Rules for Broker-Dealers and Investment Advisors Closes Oct. 10, 2023 Greenberg Traurig, LLP
Oct
3
2023
 Weekly Bankruptcy Alert October 3, 2023 (For the week ending October 1, 2023) Pierce Atwood LLP
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