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
May
20
2024
New UK Securitisation Framework | Regulators Publish Final Rules McDermott Will & Emery
May
17
2024
SEC Adopts Enhanced Privacy Safeguards K&L Gates
May
17
2024
For First Time, Whistleblower Receives SEC Award After Appealing Denial Before Court of Appeals Kohn, Kohn & Colapinto
May
16
2024
SEC Staff Issues Comments on Earnings Calls and MD&A Disclosures Barnes & Thornburg LLP
May
16
2024
Four Months Out: Private Fund Advisors Prepare for September Compliance Deadline Amidst Challenge in the Fifth Circuit ArentFox Schiff LLP
May
16
2024
Democratic Lawmakers Urge SEC Action on Greenwashing Mintz
May
16
2024
Fifth Circuit Upholds (For Now) SEC Rules Concerning ESG Proxy Votes Mintz
May
15
2024
ESMA’s Final ESG Fund Name Guidelines Proskauer Rose LLP
May
15
2024
Recent SEC Rules and Guidance Impose New Obligations on SPACs and Reverse Mergers Mintz
May
15
2024
Go Ahead and Take a CIP: SEC and Treasury Department Propose New Regulations for Investment Advisors K&L Gates
May
14
2024
The Corporate Transparency Act: A Reporting Guide for Medical Groups and MSOs Sheppard, Mullin, Richter & Hampton LLP
May
14
2024
Europe: ESMA Publishes Guidelines on Fund Names Using ESG or Sustainability-Related Terms K&L Gates
May
9
2024
Blockchain+ Bi-Weekly: Week of May 9, 2024 Polsinelli PC
May
7
2024
Chamber of Commerce Highlights Some Differences Between SEC and California Climate Disclosure Mandates Allen Matkins Leck Gamble Mallory & Natsis LLP
May
6
2024
Hedge Start: When Is SEC Registration Necessary? Proskauer Rose LLP
May
3
2024
Is There a California Connection to Kirschner? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
3
2024
The Cavalry Has Arrived: Eighth Circuit Allows Democratic State Attorneys-General to Intervene in Support of the SEC's Climate Disclosure Rule Mintz
May
2
2024
What's The Deal With New SEC Rule 3a5-4 And California? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
30
2024
Carbon Quarterly - Volume 8 K&L Gates
Apr
30
2024
Federal Cyber Enforcement Hits Crypto Hard, But Crypto is Hitting Back Katz Banks Kumin LLP
Apr
29
2024
Supreme Court Holds that Pure Omissions are not Actionable Under Rule 10b-5(b) in MACQUARIE INFRASTRUCTURE CORP. v. MOAB PARTNERS, L. P. Stubbs Alderton & Markiles, LLP
Apr
29
2024
QPAM Exemption Amendment—Key Takeaways and Action Steps for Advisors and Other Stakeholders K&L Gates
Apr
29
2024
Supreme Court Rejects 'Pure Omissions' Liability Under Rule 10b-5 Katten
Apr
26
2024
Complying with Rule 506(c): Investor Verification Methods Explained Winstead
Apr
26
2024
CFTC Taking Aim at Restrictive NDAs Which Impede Whistleblowing Kohn, Kohn & Colapinto
Apr
26
2024
China Draws Scrutiny as US Regulators Renew Anti-Bribery and Corruption Enforcement Focus McDermott Will & Emery
Apr
26
2024
ELTIF 2.0 – ESMA Responds to the EU Commission’s Proposed Amendments to the Draft RTS Proskauer Rose LLP
Apr
25
2024
Blockchain+ Bi-Weekly: Week of April 25, 2024 Polsinelli PC
Apr
23
2024
Three Things to Know About Cboe’s ETF Share Class Filing K&L Gates
Apr
23
2024
Supreme Court Holds “Pure Omissions” Are Not Actionable Under Rule 10b-5(b) Sheppard, Mullin, Richter & Hampton LLP
Apr
23
2024
Sustainable Practices: How Law Firms Can Reduce Their Carbon Footprint IMS Legal Strategies
Apr
22
2024
Senators Introduce Stablecoin Bill Hunton Andrews Kurth
Apr
22
2024
Organizational Integrity Shorts: The Importance of Post-Investigation Activities Sheppard, Mullin, Richter & Hampton LLP
Apr
22
2024
Supreme Court Rules that MD&A Omission Does Not Give Rise to a Claim for Securities Fraud Hunton Andrews Kurth
Apr
22
2024
Compound Error: Bank Mishandles Customer Accounts and Then Makes it Worse Norris McLaughlin P.A.
 

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