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
18
2022
 US Executive Branch Update – May 18, 2022 Squire Patton Boggs (US) LLP
May
17
2022
 ESG Taking Center Stage At The SEC – What Can Publicly Traded Employers Expect? Jackson Lewis P.C.
May
17
2022
 SEC Issues New Guidance Regarding Russia Sanctions and Public Company Disclosures Proskauer Rose LLP
May
17
2022
 Down to the Wire! Squire Patton Boggs (US) LLP
May
17
2022
 Regulators Focus on Terra and Its UST Stablecoin Nelson Mullins
May
16
2022
 Founders Personally Liable For Failure to Register Cryptocurrency Trading Platform, Court Says Barnes & Thornburg LLP
May
16
2022
 Organizations Taking Into Account Increased Wildfire Risk Due to Climate Change Mintz
May
16
2022
 “Fake News” Brazilian Style Norris McLaughlin P.A.
May
14
2022
 Update on Securities and Exchange Commission’s Landmark Proposed Climate- Change Disclosure Rulemaking Bracewell LLP
May
13
2022
 DOJ and SEC Bring Charges Against Executive in Alleged $62 Million Global Crypto Investment Fraud Scheme ArentFox Schiff LLP
May
12
2022
 DOL Stance on Cryptocurrency in 401(k) Plans Becomes a Political Football Bracewell LLP
May
12
2022
 Diversity & Inclusion Reporting for Listed Companies Squire Patton Boggs (US) LLP
May
12
2022
 ICO Lawyer – 5 Things to Consider Before Hiring Oberheiden P.C.
May
12
2022
 SEC’s Crypto Assets and Cyber Unit Expands Its Reach to Cryptomining Nelson Mullins
May
11
2022
 Katten Financial Markets and Funds Quick Take: May 2022 Katten
May
11
2022
 A Swipe At PIPEs: SEC Raises Disturbing ‘Underwriter’ Issue For Hedge Funds That Provide De-SPAC PIPE Financing Barnes & Thornburg LLP
May
10
2022
 SEC Targets Companies Conducting Cryptomining Nelson Mullins
May
10
2022
 Penny Pest Control: Rollins Inc. Pays $8 Million for Managing Earnings Norris McLaughlin P.A.
May
10
2022
 SEC Reopens Comment Period for Proposed Private Fund Adviser Rules Proskauer Rose LLP
May
10
2022
 Put Option Enforced: Conflict with Indian Exchange Control Laws Not a Ground for Setting Aside the Award in Singapore Nishith Desai Associates
May
10
2022
 FINRA Facts and Trends Bracewell LLP
May
9
2022
 SEC Brings First Major ESG Enforcement Action Bracewell LLP
May
9
2022
 FERC Updates Voluntary Gas Price Reporting Policy Steptoe & Johnson PLLC
May
7
2022
 SEC Division of Investment Management Director William Birdthistle Provides Remarks at ICI Investment Management Conference Vedder Price
May
7
2022
 SEC Climate and ESG Task Force Issues First Enforcement Action Mintz
May
7
2022
 SEC Staff Issues Bulletin on Standards of Conduct for Broker-Dealers and Investment Advisers Vedder Price
May
6
2022
 SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit Dinsmore & Shohl LLP
May
6
2022
 SEC Awards Four Whistleblowers $3.5 Million for Contributing to SEC Enforcement Action and Related Action by Other Agency Kohn, Kohn & Colapinto
May
6
2022
 Bill in U.S. House Would Limit SEC’s Reach Over Crypto Exchanges Dinsmore & Shohl LLP
May
6
2022
 Whistleblowers Take Note: SEC Nearly Doubles Cryptocurrency Enforcement Staff Kohn, Kohn & Colapinto
May
6
2022
 SEC Investigations Relating to Record Preservation Practices Likely to Continue Vedder Price
May
6
2022
 NAIC Continues to Refine Multiyear Work Plan to Expand Scrutiny of Holding Company Act Filings McDermott Will & Emery
May
6
2022
 SEC Proposes Rules to Regulate Certain Market Participants as "Dealers" or "Government Securities Dealers" Vedder Price
May
6
2022
 SEC Chairman Gensler Re-Affirms Support for Mandatory Climate Disclosures Mintz
May
6
2022
 SEC Issues Proposal for Enhanced and Standardized Climate-Related Disclosure Vedder Price
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