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.

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Oct
9
2014
Why Does Determining A California Quorum Have To Be So Complicated? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2014
Why The SEC Should Stay Out Of The Fee-Shifting Charter Debate Allen Matkins Leck Gamble Mallory & Natsis LLP
May
29
2020
Nevada Rejects Fiduciary Exception To Attorney-Client Privilege Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
30
2014
Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
25
2020
To File Or Not To File Under Rule 260.103? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2014
Commissioner Gallagher Posits SEC Would Prevail Against Harvard University Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
17
2020
NASAA Urges No Liftoff For Finders Relief Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
3
2020
Are Diversity Riders Legal? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
11
2015
Why SEC’s Pre-Existing Relationship Test Is The Mirror Image of California’s Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
9
2015
Failure To Follow Up Demand Dooms Derivative Suit Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
4
2021
Looking For Stiffer Loan Terms? Nevada May Be Able To Help Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
20
2015
Defending The SEC’s Choice Of The Administrative Home Court Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
16
2021
Why Does The SEC Staff Forbid Accurate Statements? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
13
2022
No File Number, No Filing Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
25
2016
Senator Introduces Bill To Allow LLCs To Be Licensed As Real Estate Brokers Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
11
2016
California Finders Exemption Has Yet To Catch On Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
25
2016
Inspecting Shareholder List Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
12
2016
Charging Order – How Nevada Secretary Of State Doesn’t Get It Quite Right Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
3
2016
Corporate Loans Can Be Problematic Even When Borrower Isn’t Officer or Director Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
10
2016
JOBS Act And Convergence Of Private And Public Sales Under UCC Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
27
2016
Will New SEC Rule 147A Lead To Renaissance In California Permit Applications? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
19
2016
SEC Takes Action Because Issuer Did Not Effect Public Offering Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
31
2017
Will Congress Deep Six SEC’s Resource Extraction Rule? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
22
2017
Silver Hills Doesn’t Mute Howey: Silver Hills Country Club v. Sobieski Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
13
2017
SEC’s Flawed Changes To Exchange Act Forms Allen Matkins Leck Gamble Mallory & Natsis LLP
May
10
2017
Real Estate Fund Advisers And Penumbra Registration Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2017
Want To “Bury” Your Response To SEC Comments? Here’s How Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
21
2017
Shares of Foreign Subsidiaries Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
29
2017
Putting These Provisions In Bylaws Won’t Be Sufficient Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
14
2017
There’s No Dressing This Up – Item 303(a)(1) Of Regulation S-K Is Unreasonable Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
29
2017
Does The SEC Have Exposure For Tipping Inside Information? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
6
2017
NASAA Issues Report On State Enforcement Actions Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
5
2022
NASAA Urges Congress To Codify M&A Broker Relief Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
21
2017
The General Corporation Law That Doesn’t Exist Allen Matkins Leck Gamble Mallory & Natsis LLP
May
4
2018
SEC Announces Launch Of SALI; What About The States? Allen Matkins Leck Gamble Mallory & Natsis LLP
 

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