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
4
2023
 Ten Minute Interview: Cybersecurity Attacks [VIDEO] Foley & Lardner LLP
Dec
4
2023
 Energy & Sustainability Litigation Updates — December 2023 Mintz
Dec
4
2023
 Financial Incentives for Sanctions Evasion Whistleblowers Supercharge Sanctions Enforcement and Strengthen National Security Zuckerman Law
Dec
2
2023
 SEC Adopts Final Rules to Enhance Cybersecurity Disclosure [PODCAST] Womble Bond Dickinson (US) LLP
Dec
1
2023
 What is the Impact of a Whistleblower’s Job Duties on Whistleblower Reward Eligibility? [Video] Zuckerman Law
Dec
1
2023
 Despite Record Year, SEC Must Improve Whistleblower Program to Align with White House Anti-Corruption Initiative Kohn, Kohn & Colapinto
Dec
1
2023
 Court Rules Director Of California Corporation Has A Duty To Disclose When Soliciting Consents Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
1
2023
 Minimal Changes as New York DFS Final Coin Listing Guidance Takes Effect Barnes & Thornburg LLP
Nov
30
2023
 U.S. Corporate Transparency Act: Beneficial Ownership Disclosure Obligations Commence in 2024 Nelson Mullins
Nov
30
2023
 CISA Issues Mitigation Guide for Healthcare + Public Health Sector Robinson & Cole LLP
Nov
30
2023
 New York Aims to Bolster Hospital Cybersecurity with Imminent Release of Proposed Regulations Epstein Becker & Green, P.C.
Nov
30
2023
 FTC and CPPA Release Rules to Address AI Risks and Protect Consumer Rights Robinson & Cole LLP
Nov
30
2023
 Blockchain+ Bi-Weekly November 30, 2023 Polsinelli PC
Nov
30
2023
 Dodd-Frank Clawback Policy: Additional Action Required for NYSE-Listed Companies by December 31, 2023 Proskauer Rose LLP
Nov
30
2023
 Impact of New SEC Regulations on Insider Trading Policies Jones Walker LLP
Nov
29
2023
 Interagency Guidance for Bank Risk Management of Third-Party Relationships Hunton Andrews Kurth
Nov
29
2023
 FTC Bureau Director Outlines FTC’s Proactive Approach to AI Regulation Hunton Andrews Kurth
Nov
29
2023
 Washington Becomes the First State to Enact a Comprehensive Health Privacy Law Hunton Andrews Kurth
Nov
29
2023
 NAI Issues Best Practices Guidance on Health-Related Digital Advertising Hunton Andrews Kurth
Nov
29
2023
 BREAKING: EU Commission Adopts EU-U.S. Data Privacy Framework Adequacy Decision Hunton Andrews Kurth
Nov
29
2023
 SEC Adopts Final Public Company Cybersecurity Disclosure Rules Hunton Andrews Kurth
Nov
29
2023
 Louisiana Passes Bill Requiring Interactive Computer Services to Get Parental Consent to Create Accounts for Minors Hunton Andrews Kurth
Nov
29
2023
 Texas Passes Bill Imposes Obligations on Digital Service Providers to Protect Minors Hunton Andrews Kurth
Nov
29
2023
 NYDFS Proposes Updated Second Amendment to Its Cybersecurity Regulation Hunton Andrews Kurth
Nov
29
2023
 Texas Passes Bill Requiring Digital Service Providers to Get Parental Consent for Create Minors’ Accounts Hunton Andrews Kurth
Nov
29
2023
 SEC Releases Enforcement Highlights for Fiscal Year 2023 Vedder Price
Nov
29
2023
 Australia: ASIC Is Remaking Exchange Traded Funds Class Order Relief K&L Gates
Nov
28
2023
 Texas Amends State Data Breach Notification Law Hunton Andrews Kurth
Nov
28
2023
 FTC Publishes Proposed Order Against Ed Tech Provider Edmodo Hunton Andrews Kurth
Nov
28
2023
 New York State Prepares to Regulate Hospital Cybersecurity Programs Mintz
Nov
28
2023
 Accountable Independence: SEC Sues Indemnified Audit Firm Norris McLaughlin P.A.
Nov
27
2023
 EU Market Regulator Finds 400% Increase in Use of ESG Language in Fund Names Cadwalader, Wickersham & Taft LLP
Nov
27
2023
 Turkeys Pardoned – New Share Repurchase Rule Delayed – Is It That Simple? Nelson Mullins
Nov
27
2023
 UK and U.S. Develop Global Guidelines for AI Security Hunton Andrews Kurth
Nov
27
2023
 Game of Tomes: A Guide to the DOL’s Retirement Security Rule Proposal Proskauer Rose LLP
Nov
23
2023
 Why Every Company with Digital Activities Should Comment on the EDPB’s New ePrivacy Guidelines Keller and Heckman LLP
Nov
23
2023
 YA Global Investments, LP v. Commissioner: Tax Court Rules that Fund was Engaged in U.S. Trade or Business Foley & Lardner LLP
Nov
22
2023
 What Are the Damages for Violating Washington’s My Health My Data Act? Greenberg Traurig, LLP
Nov
22
2023
 Washington’s My Health, My Data Act: Is Your Entity Exempt From Washington’s New Health Data Law? Greenberg Traurig, LLP
Nov
21
2023
 Under the GDPR, Is an Organization Required to Distribute its Privacy Notice to Every Individual Whose Information Is Used to Train an AI? Greenberg Traurig, LLP
Nov
21
2023
 Under the GDPR, what information should an organization that uses personal information to train an AI put in its privacy notice? Greenberg Traurig, LLP
Nov
21
2023
 SEC Defeats Summary Judgment in Insider-Trading Suit Alleging “Shadow Trading” Proskauer Rose LLP
Nov
21
2023
 California Privacy Regulators Move Forward with Enforcement of the CCPA Greenberg Traurig, LLP
Nov
21
2023
 Proxy Advisory Firm Issues Guidance on Cyber Oversight and Disclosure Hunton Andrews Kurth
Nov
21
2023
 The Reach Too Far: SEC Sues Over Botched School Audit Norris McLaughlin P.A.
Nov
20
2023
 SEC Enforcement Results Highlight Record Year for Whistleblower Program Kohn, Kohn & Colapinto
Nov
20
2023
 Opt-Outs in Securities Class Action Settlements More Likely in Recent Years, Especially for Large and Complex Cases Cornerstone Research
Nov
20
2023
 SEC Enforcement Actions Against Public Companies and Subsidiaries Jump in FY 2023 Cornerstone Research
Nov
20
2023
 Defining ‘sensitive data’: How do different states treat questions of gender and sexuality? Greenberg Traurig, LLP
Nov
20
2023
 2023 SEC Enforcement Results – Takeaways for Fund Managers Proskauer Rose LLP
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