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
Dec
10
2021
 “Who Are You”: US SEC Identifies Unregistered Soliciting Entities Norris McLaughlin P.A.
May
6
2020
 “Where’s My Refund” – In Defense of Colleges and Universities Sued for the Return Fees and Tuition Polsinelli PC
Dec
18
2013
 “Wherever You Go, There You Are”, But Will You Be In The Proper County? - California General Corporation Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
8
2020
 “We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts Norris McLaughlin P.A.
Nov
19
2022
 “We lost. Sorry everyone”: The Implications of a District Court Finding Digital Token, LBC, Is a Security Mintz
May
26
2021
 “We are not going to be moving slowly” SEC Director on ESG Disclosure Requirements Kohn, Kohn & Colapinto
Dec
3
2012
 “The Librarian” Makes Noise: Copyright Claims Included in Multi-Count Complaint Detailing Split Between LLC Members Womble Bond Dickinson (US) LLP
Oct
11
2017
 “The Cold Never Bothered Me Anyway!” SEC Again Uses Its Power To Freeze An Alleged EB-5 Scam Mintz
Apr
17
2011
 “Sunshine is the Best Disinfectant”: A Financial Advisory Update McDermott Will & Emery
Jun
15
2013
 “Sophisticated Plaintiff” Found to Be Adequate Class Representative in Securities Litigation Case Katten
Apr
15
2013
 “Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers Mintz
Nov
21
2022
 “Red Flags in the Mind Set”: SEC Sanctions Three Broker/Dealers for Identity Theft Deficiencies Norris McLaughlin P.A.
Oct
10
2022
 “Promise Them Anything, But Give Them” – NOTHING, SEC Sanctions Adviser to Private Funds Norris McLaughlin P.A.
Sep
19
2022
 “Pillow Talk": SEC Sues Greedy New Jersey "Domestic Partner" Norris McLaughlin P.A.
Jan
17
2023
 “Picking the Winner”: SEC Sanctions Investment Adviser and an Associate for “Rigging” the Game Norris McLaughlin P.A.
Jul
28
2015
 “Pay to Play” Developments - Updates from the SEC Morgan, Lewis & Bockius LLP
Sep
20
2013
 “Patent Assertion and Startup Innovation": Some Sensible Ideas Schwegman, Lundberg & Woessner, P.A.
Mar
27
2023
 “Oh, Baloney!” SEC Sues Father, Son, and Friend for Manipulating the Stock of a New Jersey Deli Norris McLaughlin P.A.
Feb
13
2023
 “Now Yous Can’t Leave”: SEC Finds Itself in Formidable Fight Over Attempt to Assert Regulatory Domain over Secondary Sales of Digital Assets Polsinelli PC
Jan
6
2016
 “Not De Minimis” Is No Small Thing! Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2014
 “Neither Admit nor Deny” Settlements at the SEC (Securities and Exchange Commission) Faegre Drinker
Mar
29
2019
 “Nanny” Government Rebuffed in Prosecution of Former Barclays Trader Sheppard, Mullin, Richter & Hampton LLP
Aug
31
2017
 “Lead Independent Director” Or “Presiding Director”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
9
2013
 “Kid, Did You Ever Go To Court?” Re: Securities Compliance & Disclosure Interpretation Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
21
2018
 “It Says What It Says”: Dodd-Frank Whistleblower Protection Requires SEC Reporting, SCOTUS Rules Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
May
22
2014
 “Instrumentality” Explained: The Eleventh Circuit Interprets the Scope of the FCPA (Foreign Corrupt Practices Act) Neal, Gerber & Eisenberg LLP
Apr
27
2021
 “I Robot:” The SEC Evaluates the First Law of Robotics Norris McLaughlin P.A.
Mar
29
2014
 “Housekeeping” Updates for Public Companies Faegre Drinker
Dec
15
2020
 “Gig” Workers May Become Eligible to Receive Equity Compensation Mintz
Jun
4
2014
 “Gatekeepers" Beware: A New Tool of the SEC (Securities and Exchange Commission) Barnes & Thornburg LLP
Sep
16
2016
 “Financial CHOICE Act” Approved by House Financial Services Committee Covington & Burling LLP
May
16
2022
 “Fake News” Brazilian Style Norris McLaughlin P.A.
Oct
6
2022
 “Fair Value” and “Fair Value to the Obligor”: The Mysteries of TIA Section 314(d) Under the Utility Mortgage Bond Indenture Bracewell LLP
Jun
22
2015
 “Does Anybody Really Know What Time It Is?” Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
10
2015
 “Dead Hand Proxy Puts” Garner Increased Stockholder Scrutiny In Delaware Sheppard, Mullin, Richter & Hampton LLP
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