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
6
2022
 CFTC and SEC Perspectives on Cryptocurrency and Digital Assets – Volume I: A Jurisdictional Overview K&L Gates
May
6
2022
 SEC Proposed New Rules Relating to SPACs Vedder Price
May
6
2022
 SEC ESG Task Force Charges First Company For ESG Fraud CMBG3 Law
May
6
2022
 Feds Giddy Up on FinTech: SEC Adds 20 Positions to Cryptocurrency Unit Nelson Mullins
May
6
2022
 SEC Issues Rule Proposal for Security-Based Swap Execution Facilities Vedder Price
May
6
2022
 GT Newsletter | Competition Currents | May 2022 Greenberg Traurig, LLP
May
5
2022
 Second Circuit Finds That Criminal Victims Cannot Recover Attorneys' Fees for Parallel SEC Investigations Vedder Price
May
5
2022
 SEC Announces 2022 Examination Priorities Greenberg Traurig, LLP
May
5
2022
 SEC BlockFi Settlement Signals Crypto Lending Platforms to Comply with Federal Securities Law Vedder Price
May
5
2022
 SEC Risk Alert Highlights Renewed Focus on Insider Trading and MNPI Policies and Procedures for Fund Managers Proskauer Rose LLP
May
5
2022
 Over My Dead Body: Defendant Can’t “Wait Until He Dies” to Pay Arbitration Award McDermott Will & Emery
May
5
2022
 SEC Proposes Climate-Related Disclosure Requirements Katten
May
5
2022
 If The SEC Favors Full Disclosure, Why Does It Have A "Gag Rule"? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
5
2022
 The Biden Administration Proposes Changes to the Taxation of Cryptocurrency Transactions Proskauer Rose LLP
May
5
2022
 SEC Bolsters Crypto-Regulatory Team Foley & Lardner LLP
May
5
2022
 SEC's Climate-Related Comment Letters – Avoiding Potential Pitfalls Katten
May
4
2022
 SEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit” Winstead
May
4
2022
 SEC Proposes New Rules in Response to GameStop Trading and Related Market Volatility Vedder Price
May
4
2022
 SEC's Division of Examinations Issues Risk Alert on Investment Adviser MNPI Compliance Issues K&L Gates
May
4
2022
 The Bottom Line of the SEC Proposed Private Fund Rules Proskauer Rose LLP
May
3
2022
 SEC Steps Up Enforcement Activities in Crypto Markets Greenberg Traurig, LLP
May
3
2022
 Crypto is . . . Everywhere . . . and the SEC and other Regulators Are Sprinting to Keep Up Mintz
May
3
2022
 SEC Proposes Comprehensive Package of Climate-Related Disclosure Rules Greenberg Traurig, LLP
May
3
2022
 Possible Cyberwarfare? Here’s How to Stay Armed. Bradley Arant Boult Cummings LLP
May
3
2022
 SEC to Hire More Staff in Crypto Assets and Cyber Unit and Ratchet Up Scrutiny of Industry Proskauer Rose LLP
May
3
2022
 ESG Enforcement Watch: SEC Files Fraud Complaint against Brazilian Miner, Vale, over False Safety Claims prior to Environmental Disaster Cadwalader, Wickersham & Taft LLP
May
3
2022
 Conflicts of Interest: How High Will the Bar be Raised? Proskauer Rose LLP
May
2
2022
 SEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to Require Additional Firms to Register with Agency and Comply with Federal Securities Regulations Greenberg Traurig, LLP
May
2
2022
 SEC Issues Risk Alert on Investment Adviser MNPI Compliance Issues Vedder Price
May
2
2022
 April 2022 Crypto Enforcement Actions And Regulatory Guidance Roundup Sheppard, Mullin, Richter & Hampton LLP
Apr
29
2022
 When Your Business Partner Uses Company Money to Purchase Assets for Himself, You Have a Remedy – If You Don’t Wait Too Long Norris McLaughlin P.A.
Apr
29
2022
 Court Finds California Labor Statute To Be No Bar To Charter Forum Selection Clause Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
29
2022
 Mississippi Gaming Commission Meeting Report April 2022 Jones Walker LLP
Apr
28
2022
 Litigation and Enforcement Impact of the SEC's Proposed Rules on Climate-Related Disclosure Bracewell LLP
Apr
28
2022
 SEC Proposes Cybersecurity Rule for Registered Funds and Investment Advisers Proskauer Rose LLP
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