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
Nov
18
2015
 Is There A State Role For Binary Option Regulation? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
22
2021
 Court Rules "Thoughtful," "Disciplined," and "Dynamic" Are But Short Blasts Of Wind Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
2
2016
 D.C. District Court Declines To Redress SEC’s Failure To Respond To Petition Seeking Political Spending Disclosure Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
21
2022
 The Double Meaning Of "Designated Office" Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
8
2016
 California DBO Proposes Finders Exemption Regulations Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
8
2016
 Class A Is Class A and Class B Is Class B And Shall Ever The Twain Meet? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
8
2016
 Fukuda v. Nethercott: This Case Caused Me To Take Stock Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
28
2013
 Pros and Cons of Using Employee Stock Ownership Plans (ESOPs) [AUDIO] Odin, Feldman & Pittleman, P.C.
Oct
13
2014
 Realities of Phantom Stock and SAR’s (Stock Appreciation Rights) Odin, Feldman & Pittleman, P.C.
Jul
25
2013
 How to Exclude Gain on the Sale of Qualified Small Business Stock! [AUDIO] Odin, Feldman & Pittleman, P.C.
Aug
14
2015
 Asset Protection Planning - Part 4 - Business Entities, Trusts and Case Studies [Audio Podcast] Odin, Feldman & Pittleman, P.C.
Mar
20
2015
 Bank of New York Mellon Agrees To Pay $714 Million to Resolve Claims Regarding Foreign Exchange Fraud Tycko & Zavareei LLP
Sep
2
2021
 Cybersecurity Whistleblowers Protect the House Tycko & Zavareei LLP
Jul
29
2022
 National Whistleblower Appreciation Day 2022 Tycko & Zavareei LLP
Sep
22
2014
 Top 10 Tips For Qui Tam Whistleblowers Tycko & Zavareei LLP
Apr
3
2015
 SEC Warns Companies Not To Try To Silence Potential Whistleblowers Tycko & Zavareei LLP
May
27
2021
 Cleaning Up Crypto: How Whistleblowers Can Help Stop Cryptocurrency Scams, Money Laundering, and Tax Evasion, and Make Money Doing It Tycko & Zavareei LLP
May
25
2014
 Commodity Futures Trading Commission (CFTC) Issues Its First Ever Whistleblower Award For Tip On Securities Violation Tycko & Zavareei LLP
Sep
21
2022
 Colorado’s New False Claims Act: What it Means for Whistleblowers Tycko & Zavareei LLP
Dec
21
2022
 Who Can Be a Whistleblower? Tycko & Zavareei LLP
Feb
13
2014
 Does The Government Really Pay Awards To Whistleblowers? Tycko & Zavareei LLP
Nov
19
2014
 SEC Publishes Its 2014 Dodd-Frank Whistleblower Program Annual Report Tycko & Zavareei LLP
Sep
30
2016
 Vibra Healthcare To Pay $33 Million To Settle Qui Tam Lawsuit That Alleged Healthcare Fraud in Medicare Billing Practices Tycko & Zavareei LLP
Jan
27
2022
 Crime Doesn’t Pay, but Whistleblowing Does: SEC Awards $40 Million to Four Whistleblowers Tycko & Zavareei LLP
Sep
30
2021
 FIRREA Declaration Nets $72.6 Million Settlement for Foreign Transaction Prestidigitation Tycko & Zavareei LLP
Sep
19
2014
 Department of Defense Contractors Agree to Pay the U.S. Government $5.5 Million for Allegedly Supplying the Military with Low-Grade Batteries for Humvee Gun Turrets Used in Iraq; Minnesota Whistleblower to Receive $990,000 Tycko & Zavareei LLP
Nov
28
2022
 ‘Tis the Season… to Consider ESG Investments in Your 401(k) Plan Jackson Lewis P.C.
Apr
23
2014
 SEC (Securities and Exchange Commission) Argues for Broad Construction of Dodd-Frank Act Whistleblower Anti-Retaliation Provision Jackson Lewis P.C.
Dec
4
2014
 Spearphishermen Catch Big Fish re: Data Breaches and Securities Fraud Jackson Lewis P.C.
Nov
20
2020
 Financial Industry Regulatory Authority Arbitration of Employment Disputes Jackson Lewis P.C.
Jun
1
2018
 Retaliation Plaintiff Not a Covered Whistleblower under Plain Reading of Dodd-Frank Act, Court Rules Jackson Lewis P.C.
Jul
27
2023
 The Good, the Bad and the Ugly in Secure 2.0: A Primer for Retail Employees Jackson Lewis P.C.
Dec
1
2013
 Dodd-Frank – Affirmative Action Obligations for the Financial Services Industry Jackson Lewis P.C.
Oct
24
2023
 Delaware’s Governor Signed the Delaware Personal Data Privacy Act Jackson Lewis P.C.
Jul
29
2014
 SEC Obtains Cease and Desist Order, Fine Regarding Foreign Corrupt Practices Act Violations by Gun Maker Jackson Lewis P.C.
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