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
Jun
6
2009
 Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Jan
22
2020
 Among an Array of 2020 Examination Priorities, SEC Signals Continued Interest in Cryptocurrency Proskauer Rose LLP
Dec
8
2020
 An Early Holiday for Gig Workers: SEC Proposes to Expand Ability of Companies to Grant Equity Compensation to Gig Economy K&L Gates
Sep
25
2023
 An Early Look at SEC Comment Letters on Pay Versus Performance Disclosures Barnes & Thornburg LLP
Aug
2
2023
 An Evolving High-Wire Act: Navigating Conflicting Laws, Regulations, and Guidance in the ESG Space Sheppard, Mullin, Richter & Hampton LLP
Jul
16
2020
 An Excerpt from Tech Company Securities Class Action Filings and Settlements—2015–Q1 2020 Review and Analysis: Number of Federal and State Filings Cornerstone Research
May
10
2013
 An Exemption For Foreign Subsidiary Formation Under California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
6
2020
 An Inside (Trading) Job: Criminal Forfeiture Order Cancels out SEC Disgorgement in Insider Trading Case Polsinelli PC
Sep
12
2014
 An Introduction to Revenue Participation Financing Michael Best & Friedrich LLP
May
13
2021
 An Overview of SEC Defense Oberheiden P.C.
Oct
19
2010
 An Overview of the Hedge Fund Industry and What’s Coming Next for Hedge Funds Suffolk University Law School
Sep
9
2019
 An Overview of the SEC’s “Regulation Best Interest” and Form CRS Epstein Becker & Green, P.C.
Aug
29
2023
 An SEC First: NFTs Are Sold As Securities K&L Gates
Nov
8
2022
 An SEC Win - US District Court Judge Rules LBRY’s LBC Token a Security Mintz
Jun
23
2022
 An Undefined Business Relationship Might Create Fiduciary Duties Womble Bond Dickinson (US) LLP
Nov
18
2013
 An Unexpected Impasse Revisited - California Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
25
2024
 An Update on the SEC’s Cybersecurity Reporting Rules Hunton Andrews Kurth
Apr
3
2014
 An Upside to Parallel Civil and Criminal Investigations? Criminal Authorities May Have to Disclose Exculpatory Information in the Possession of the Civil Agency Faegre Drinker
Jul
12
2016
 Analysis of First 50 Crowdfunding Offerings: Following the Crowd Faegre Drinker
Apr
1
2020
 Analysis of Settlement Characteristics: An Excerpt from Cornerstone Research Report: Securities Class Action Settlements--2019 Review and Analysis. Cornerstone Research
Jan
25
2018
 Analysis of the SEC’s MiFID II No-Action Relief Proskauer Rose LLP
Dec
25
2013
 And on the 12th Day of Privacy, Something for Directors…..Mind the Gap! Re: Cyber Risks Mintz
Apr
11
2014
 And You Thought Dissenters’ Rights Didn’t Apply To Delaware LLCs (Limited Liability Corporations) Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
20
2010
 Angel Investing Principles: Doing Good While Doing Well Michael Best & Friedrich LLP
Jan
24
2014
 Angel Investor Tax Credit Program Would Be Godsend to Kentucky Businesses McBrayer, McGinnis, Leslie and Kirkland, PLLC
Feb
25
2014
 Angels and Early Exits: Sometimes, a Bird in the Bush is Worth More than a Bird in the Hand Michael Best & Friedrich LLP
Feb
16
2018
 Annual Compliance Obligation Reminders Vedder Price
Nov
16
2017
 Annual Report Reveals SEC Whistleblower Program’s Bright Future: Hundreds of Millions in Whistleblower Awards Coming Soon Zuckerman Law
Apr
24
2020
 Annual Reports And Holder Liability Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
21
2020
 Anonymous SEC Whistleblower Earns $2.4 Million Award For Prompting Commission to Open Investigation Kohn, Kohn & Colapinto
Jun
24
2021
 Anonymous SEC Whistleblower Plays Key Role in Fraud Investigation, Receives $1 Million Award Kohn, Kohn & Colapinto
May
12
2021
 Anonymous SEC Whistleblower Receives $3.6 Million Award Kohn, Kohn & Colapinto
Jun
27
2017
 Anonymous Whistleblowing: Does the SEC Whistleblower Program Protect a Whistleblower’s Identity? Zuckerman Law
Oct
9
2018
 Another Court Rules Virtual Currencies are Commodities Subject to CFTC Oversight Faegre Drinker
Mar
28
2023
 Another False Claims Act Salvo in DOJ’s “Civil Cyber-Fraud Initiative” Squire Patton Boggs (US) LLP
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