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
Mar
8
2024
Part 3: Separate Accounts and CFTC Regulation §1.44—Different Views of the Same Situation Blank Rome LLP
Mar
7
2024
DOJ’s New Whistleblower Reward Program Will Supercharge White Collar Enforcement Zuckerman Law
Mar
7
2024
Ten States Sue to Block SEC Climate Disclosure Rule Before the Ink is Dry Mintz
Mar
7
2024
Loss Of $6 Million in Deposits is No Forfeiture Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
7
2024
Insurance Implications of SEC and CFTC’s New Form PF Requirements Hunton Andrews Kurth
Mar
6
2024
The SEC Adopts Extensive Climate Change Disclosure Rules Proskauer Rose LLP
Mar
6
2024
SEC Issues Long-Awaited Climate Disclosure Rule Mintz
Mar
6
2024
SEC Issues Long-Awaited Climate Risk Disclosure Rule K&L Gates
Mar
6
2024
SEC Targets Crypto and DeFi Platforms with New Rules and an Enforcement Action Mintz
Mar
6
2024
SEC Climate Disclosure Rule “Paves Way for Greenwashing” Kohn, Kohn & Colapinto
Mar
6
2024
Investment Advisers to Be Subject to Strengthened AML Regulations Under FinCEN’s Proposed Rule ArentFox Schiff LLP
Mar
5
2024
SEC and CFTC Adopt Amendments to Form PF for Increased Disclosure K&L Gates
Mar
4
2024
Lifting the Fog on the Foreign Corrupt Practices Act: Enforcement and Compliance Trends to Watch in San Francisco Bracewell LLP
Feb
29
2024
SEC Schedules Vote on Proposed Climate Disclosures Mintz
Feb
29
2024
Redefining Insider Trading: The SEC's Groundbreaking Theory in the Panuwat Case Miller Canfield
Feb
28
2024
SEC Expands Dealer Registration Requirements Greenberg Traurig, LLP
Feb
28
2024
SEC Expands "Dealer" Definition to Capture Liquidity Providers K&L Gates
Feb
27
2024
2024 Litigation Look Ahead Series: Challenges to Administrative Law Judges, Judicial Review Process Could Limit Executive Power Beveridge & Diamond PC
Feb
27
2024
IRS Releases Proposed Donor-Advised Fund Regulations Cadwalader, Wickersham & Taft LLP
Feb
26
2024
SEC Expected to Drop Scope 3 GHG Emissions Disclosure Requirements From Final Climate Rule Mintz
Feb
25
2024
An Update on the SEC’s Cybersecurity Reporting Rules Hunton Andrews Kurth
Feb
23
2024
SEC Significantly Broadens "Dealer" Definition Katten
Feb
23
2024
SEC Answers Questions on New Tailored Shareholder Report Requirements Proskauer Rose LLP
Feb
23
2024
Final Final Answer: Loans Are Not Securities Cadwalader, Wickersham & Taft LLP
Feb
22
2024
Blockchain+ Bi-Weekly - February 22, 2024 Polsinelli PC
Feb
22
2024
February 2024 Regulatory Round-Up Cadwalader, Wickersham & Taft LLP
Feb
22
2024
FinCEN Proposes New Rule Requiring AML Compliance Programs for Investment Advisers Cadwalader, Wickersham & Taft LLP
Feb
22
2024
SEC Expands Regulatory Oversight of Private Fund Advisers - Amendments to Form PF ArentFox Schiff LLP
Feb
21
2024
Roundup of SEC Whistleblower Office’s January Notices of Covered Actions Kohn, Kohn & Colapinto
Feb
20
2024
Not Done Yet: Australia’s Odyssey Into Regulating Artificial Intelligence (AI) K&L Gates
Feb
20
2024
Fifth Circuit Orders En Banc Rehearing of Rejected Challenge to Nasdaq’s Board-Diversity Rules Proskauer Rose LLP
Feb
19
2024
Regulation: Industry Comments on SEC’s Fund Name Proposal Cadwalader, Wickersham & Taft LLP
Feb
19
2024
Regulation: First Greenwashing Fine Issued in Australia Cadwalader, Wickersham & Taft LLP
Feb
19
2024
Litigation and Enforcement: Asset Manager Self-Reporting of Greenwashing Regulatory Breach Cadwalader, Wickersham & Taft LLP
Feb
16
2024
DOJ and SEC Officials Issue Harsh Warnings Concerning the Misuse of AI Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2024
Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2024
FinCEN Proposes AML Requirements on Registered Investment Advisers (Including Exempt Reporting Advisers) K&L Gates
Feb
16
2024
Proposed AML Suspicious Activity Rule Stark & Stark
Feb
15
2024
SEC Receives Complaint of Alleged Greenwashing by International Energy Company Cadwalader, Wickersham & Taft LLP
Feb
15
2024
CFIUS Filing Pending: Czechoslovak Group a.s. and Sporting Products Business of Vista Outdoor Inc. Squire Patton Boggs (US) LLP
Feb
15
2024
Managing and Reporting Third-Party Cybersecurity Incidents Under the New SEC Cyber Risk Regulations Squire Patton Boggs (US) LLP
Feb
15
2024
Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability Katten
Feb
15
2024
It's Lupercalia! CFL Annual Reports Are Due In 30 Days Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
15
2024
SEC Broadens 'Dealer' Definition Katten
Feb
15
2024
Third Time's a Charm? SEC & CFTC Finalize Amendments to Form PF Katten
Feb
15
2024
SFC Circular on SFC-Authorized Funds with Exposure to Virtual Assets-Part 1 K&L Gates
Feb
14
2024
SEC Adopts New Rules Regarding SPAC Transactions Barnes & Thornburg LLP
Feb
14
2024
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements with Retail Clients K&L Gates
Feb
14
2024
U.S. Supreme Court Holds SOX Whistleblowers Not Required to Show Retaliatory Intent (US) Squire Patton Boggs (US) LLP
Feb
14
2024
SEC Expands “Dealer” Definition Hunton Andrews Kurth
 

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