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
2
2018
 When A Money Laundering Investigation Turns Into a Class Action Complaint: The Latest Round in BofI’s Fight to Put Money Laundering Allegations in the Rearview Mirror Ballard Spahr LLP
Aug
24
2015
 When A Million Dollar Stockbroker Goes Bad Mahany Law
Apr
21
2020
 When A Distribution Is Not Subject To Chapter Allen Matkins Leck Gamble Mallory & Natsis LLP
May
8
2015
 When A Corporation May Not Be A Corporation At All Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
5
2014
 When a California Corporation Dissolves, Do the Directors Become Zombies? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
17
2023
 When A 20% Interest May Be a 40% Interest Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
2
2020
 When 1% Is Tantamount To 33 1/3% Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
29
2022
 What’s Worth Understanding: The SEC Proposes a Mandatory Climate Disclosure Regime for Public Companies Hunton Andrews Kurth
Nov
29
2022
 What’s Up With the SEC’s Probe Into the Use of WhatsApp? Nelson Mullins
Feb
20
2014
 What’s The Matter With The SEC’s Unbundling Interpretation? Re: Securities and Exchange Commission Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
4
2015
 What’s So Special About An 80% Doing Business Threshold? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
27
2015
 What’s Next for the SEC Pay-to-Play Rule Challenge? Covington & Burling LLP
Aug
25
2020
 What’s New, and Comings & Goings at the SEC Faegre Drinker
Mar
8
2019
 What’s In Store For A Fiduciary Standard in 2019 Womble Bond Dickinson (US) LLP
May
19
2022
 What’s in a Name?: “Defense Stocks” Highlight the Challenges for Asset Managers in Navigating Sustainability Taxonomies as They Characterize Investments as ESG-Compliant Cadwalader, Wickersham & Taft LLP
Apr
22
2021
 What’s in a Name? The SEC Warns Against Confusion in ESG Investments Norris McLaughlin P.A.
Aug
27
2020
 What’s at Stake With the New SEC Whistleblower Rules? Kohn, Kohn & Colapinto
Mar
4
2013
 Whatever Your Impression is About Venture Capitalists, Understand These 4 Things First Michael Best & Friedrich LLP
Mar
4
2016
 What, If Anything, Is Wrong With Contractual Obligations Table? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
23
2016
 What, If Anything, Impedes SEC’s Whistleblower Rule? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
6
2017
 What's Your Status? SEC Staff Releases New Interpretations on Rule 144A QIB Status and Regulation S Matters Faegre Drinker
Oct
21
2022
 What's Up With WhatsApp? Regulators Recently Fine Firms $1.8 Billion in Aggregate for "Off-Channel" Communications Katten
Oct
28
2021
 What's Under the Canoe? Bracewell LLP
May
2
2024
 What's The Deal With New SEC Rule 3a5-4 And California? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
23
2022
 What's Misleading About "Leading"? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
8
2020
 What's In A Name? A Lot Of Pain Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
26
2023
 What's in a Fund Name? SEC Approves Changes to the Fund Names Rule K&L Gates
Sep
4
2012
 What You Need to Know About the New SEC Rule Requiring Additional Reporting by Resource Extraction Issuers Greenberg Traurig, LLP
Mar
22
2013
 What You Need to Know About Foreign Account Tax Compliance Act's (FATCA) Impact on Non-U.S. Retirement Plans McDermott Will & Emery
Feb
25
2012
 What You Need to Get Done Now If You Want to Sell Your Company in 2012 Mintz
Apr
9
2021
 What Will the SEC's ESG Enforcement Look Like? Cyber Cases Offer Clues Bracewell LLP
Sep
26
2023
 What We Can Learn From One of The Most Detailed ESG SEC Actions to Date Mintz
Jun
30
2017
 What Violations Qualify For A SEC Whistleblower Award?: Chapter 4 Zuckerman Law
Aug
28
2017
 What type of evidence should I provide to the SEC Whistleblower Office? - Chapter 13 Zuckerman Law
Jan
19
2021
 What Type Of Crime Is Securities Fraud In California? Allen Matkins Leck Gamble Mallory & Natsis LLP
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