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
Jul
15
2020
 In This Case, A Wrongful Termination Does Not Render Repurchase Wrongful Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
17
2014
 Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
7
2015
 More Questions About California’s Limited Offers Section 25102(f) Exemption - Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
27
2015
 Covenants Not To Compete – By The Numbers Allen Matkins Leck Gamble Mallory & Natsis LLP
May
6
2015
 Will Delaware’s Fee-Shifting Bylaw Bill Be A Boon To Other States? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
15
2015
 The SEC’s Unconvincing Case Against Indemnification Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
22
2015
 Out-of-State M&A Lawyer Can Be Sued In California Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
12
2021
 Nevada Supreme Court Finds Board Resolution In Merger Agreement Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
27
2015
 Stock Options: Did You Ever Wonder Whether “Within” Might Be A Superfluous Pleonasm? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
12
2015
 California Governor Signs Finders Exemption Bill Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
10
2015
 What 19 Eminent Law Professors Would Have You Believe re: Corporations and Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
23
2015
 ISS Ignores Contrary Studies In Adopting Overboarding Policy Change Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
14
2015
 Section 12(g)(1)(A) of JOBS Act – How SEC Is Putting Words In Congress’ Mouth Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
8
2016
 Court Holds Corporations Have No Constitutional Privacy Right, But . . . Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
1
2016
 California Bill Threatens To Yank Qualification Upon Any Change In Management of Offer and Sale of Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
8
2016
 What Does Americold Realty Trust Have To Do With Rule 147? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
5
2016
 Ninth Circuit Court Rejects Challenge To Internal Affairs Doctrine Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
9
2017
 Exactly What Part Of “To The Commission” Is Ambiguous? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
11
2017
 If The Market Makes You Do It, Why Should The SEC? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
1
2017
 Materiality – “Shoulda, Coulda, Woulda?” Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
31
2017
 “Lead Independent Director” Or “Presiding Director”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
13
2017
 What Is A Foreign Registrant And Why Must They Translate Their Names? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
31
2017
 Post No Bills: SEC Warns of California Wildfire Investment Scams Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
9
2017
 More On Disclosure Under SEC Rule 701(e) Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
11
2017
 Were The SEC’s Pay Ratio Rule Efforts Valiant? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
1
2022
 The SEC's Tenuous, Tentative Case For Preemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
21
2018
 Supreme Court Holds Whistleblower Must First Blow The Whistle To The SEC 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
Apr
16
2018
 Industrial Loan Company Securities - They May Or May Not Be What You Assume Them To Be Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
28
2013
 Ninth Circuit Holds Private Company Rules Preempt California Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
22
2018
 Buyer Liability Under The California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
7
2023
 SEC Files Desist & Refrain Order Against Coinbase Alleging Failure To Qualify Staking Rewards Program Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
16
2018
 How To Avoid A Section 11 Liability In A Stock-For-Stock Merger Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
4
2013
 Proxy Advisory Firms – What About State Registration? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
16
2019
 Is It Deceptive To Lie To A Machine? Allen Matkins Leck Gamble Mallory & Natsis LLP
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