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
20
2018
 A Blockchain Alternative for Accredited Investors Fairfield University Dolan School of Business
Apr
1
2022
 A Brief Summary of the SEC’s Proposed Climate-Related Rules Mintz
May
13
2014
 A Cautionary Tale for Private Equity Funds Investing in the European Union Faegre Drinker
Apr
22
2015
 A Change for the Better? The Arguments For and Against a Venture Exchange Sheppard, Mullin, Richter & Hampton LLP
Mar
3
2014
 A Change for the Worse: Material Adverse Effect in Upstream Acquisitions Hunton Andrews Kurth
Jul
27
2022
 A Cloak Secrecy That Unbecomes The SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
20
2023
 A Closer Look at the UK Chancellor’s ‘Collection of Announcements’ Cadwalader, Wickersham & Taft LLP
Jun
25
2014
 A Committee of Fund Manager Personnel May Not Be Able to Provide the Requisite Consent on Behalf of the Fund for a Principal Transaction Mintz
Mar
31
2015
 A Compilation of SEC Enforcement and Non-Enforcement Actions Foley & Lardner LLP
Jun
30
2015
 A Compilation of SEC Non-Enforcement Actions - Securities and Exchange Commission Foley & Lardner LLP
Sep
3
2017
 A crisis of confidence or a question of short memories? Jackson Hole Summit Squire Patton Boggs (US) LLP
Sep
21
2023
 A Cup of Coffee - and a Dismissal - To Go Mintz
Mar
16
2017
 A Deeper Dive into Diversity: SEC's Advisory Committee Calls for Increased Board Diversity Disclosure Faegre Drinker
Aug
22
2023
 A Different Kind of IPO: Going “Public” with Your Private Foundation Blank Rome LLP
Jul
28
2022
 A Diffuse Mission for the SEC's Climate and ESG Task Force? Mintz
Aug
17
2023
 A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs Katten
Jun
26
2019
 A Dozen Securities Law Professors Stake Absolutist Position On Adviser Duties Allen Matkins Leck Gamble Mallory & Natsis LLP
May
11
2020
 A Farraginous Stew Of Share Certificate Legend Requirements Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
6
2023
 A Field Guide to Issuer and Nonissuer Transactions Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2018
 A Five Percent Interest Is Not Necessarily Stock Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
10
2023
 A Focus on Environmental, Social, and Governance With Attorney Gina Falaschi [VIDEO] Babst, Calland, Clements & Zomnir, P.C.
Jun
13
2022
 A Fool in Idaho; SEC Sues Idahoans for Insider Trading Scheme Norris McLaughlin P.A.
Oct
17
2023
 A Form D Is Not A Registration Statement And Why It Might Matter Allen Matkins Leck Gamble Mallory & Natsis LLP
May
27
2022
 A Fund by Any Other Name: SEC Proposes Names Rule Amendments K&L Gates
Feb
3
2017
 A Generally Accepted Accounting Principles Happy Month in SEC Enforcement Faegre Drinker
Aug
23
2023
 A Guide to the Corporate Transparency Act for Individuals with Closely Held Businesses and State-Monitored Entities Created for their Estate Planning Goulston & Storrs
Aug
1
2023
 A Little Big Change for Articles of Organization of California LLCs Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
10
2020
 A Liu Look at Disgorgement: Ninth Circuit Vacates SEC Disgorgement Award Cadwalader, Wickersham & Taft LLP
Jun
2
2023
 A Long Hot Summer: Effective Variable Rates Subject to Increase (Irrespective of General Market Conditions) ArentFox Schiff LLP
Aug
15
2023
 A Look at Q2 M&A and Beyond: Are Conditions Ripe for a Strong 2024 M&A Rebound? Foley & Lardner LLP
Jun
1
2018
 A Look At The Proposal to Simplify The Volcker Rule Cadwalader, Wickersham & Taft LLP
Feb
13
2019
 A Look Back at Key Corporate Governance and Internal Investigations Issues in 2018 Jackson Lewis P.C.
Apr
11
2012
 A Major Change for Traditional Private Placements: General Solicitation and General Advertising Coming Soon Mintz
Mar
29
2011
 A MATRIXX Revolution, Part II: Supreme Court affirms Ninth Circuit's holding that Life Science Companies Cannot Rely On a Statistical Significance Standard When Deciding Whether Adverse Event Reports are Material for the Purpose of Securities Disclosures Sheppard, Mullin, Richter & Hampton LLP
Sep
21
2020
 A Mix of Clarity and Confusion: Crypto Asset Law and Regulation in the UK Proskauer Rose LLP
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