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
29
2012
 Where to Spend Your Healthcare Investment Dollars Faegre Drinker
Mar
29
2023
 Where is Cloud Computing Heading in 2023? Foley & Lardner LLP
Sep
24
2015
 Where In The World Is An Issuer’s Home Country? re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
May
14
2020
 Where Do Scriptophilists Obtain Certificates? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
29
2022
 When Your Business Partner Uses Company Money to Purchase Assets for Himself, You Have a Remedy – If You Don’t Wait Too Long Norris McLaughlin P.A.
Jan
7
2016
 When Voluntary Self-Disclosure Isn’t so Voluntary: SEC Says Self-Disclose or Forfeit Non-Prosecution and Deferred Prosecution Sheppard, Mullin, Richter & Hampton LLP
Oct
24
2018
 When To Worry About Blue Sky Laws Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2023
 When the “Back Door” is Closed: Muni Bond Underwriter Sanctioned Norris McLaughlin P.A.
Sep
10
2020
 When the Tank Is Empty: Auditing in the Time of COVID-19 Norris McLaughlin P.A.
Jun
7
2021
 When the Dust Settles: A Closer Look at the SPAC Boom and Potential Litigation to Follow [WEBINAR] Mintz
Dec
15
2020
 When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance Norris McLaughlin P.A.
Nov
25
2019
 When Summer Reading and Public Finance Tax Intersect – Tax-Exempt Bonds, Pop Culture, and the Town of Windthorst Squire Patton Boggs (US) LLP
Jun
4
2020
 When Shares May Be Convertible At Corporation's Option Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
18
2022
 When Selling Partnership Interests May Require A Real Estate Broker's License Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
24
2016
 When SEC Became Real Estate Regulator Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
2
2021
 When PPP met OBA – An Investigation was Born Winstead
Jul
22
2021
 When One Party's Professional Decides The Sufficiency Of That Party's Performance Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
14
2016
 When Must Executives Testify in Corporate Litigation? Wisconsin Judge Provides Insight Foley & Lardner LLP
Apr
4
2023
 When James Met Gary, Howey, and Hinman: New York AG Takes Aim at KuCoin (but hits Ethereum) in Latest Crypto Crackdown Nelson Mullins
Nov
27
2013
 When It Comes To Proxy Statements, The U.S. District Courts May Not Be So Exclusive After All Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
8
2014
 When It Comes To Director Compensation Claims, Nevada And Delaware Are Fundamentally Different Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
29
2015
 When Is Medical Information Considered Sensitive? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
31
2017
 When is Best Time to Report Fraud or Misconduct to SEC? - Chapter 10 Zuckerman Law
Jul
16
2021
 When is a Token More Than a Token? SEC Settlement over Anti-Touting Provision Raises Familiar Questions Proskauer Rose LLP
Mar
18
2020
 When is a Cross-Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood Proskauer Rose LLP
Dec
13
2017
 When Does Software Become Securities? Sheppard, Mullin, Richter & Hampton LLP
Sep
11
2023
 When Do Stock Splits, Reverse Stock Splits and the Like Become Effective? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
6
2013
 When Directors Are Or Become Bad Actors . . . Re: Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
16
2023
 When Deposits Don’t Travel with Loans Cadwalader, Wickersham & Taft LLP
Nov
19
2014
 When California Copied Rule 10b-5 Did It Shut The State Courthouse Door To Securities Fraud Suits? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
14
2014
 When are Public Companies Required to Disclose that They Have Experienced a Material Data Security Breach? Covington & Burling LLP
Apr
4
2018
 When An LLC Interest Is A Security Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
8
2012
 When a Special Committee Is Not So Special Mintz
Jul
9
2020
 When A Relationship Is Insufficient: Opting Out of the FX Antitrust Class Action Requires Clear Indication Mintz
Jul
9
2013
 When a Non-Binding Term Sheet Becomes Binding Mintz
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