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
Sep
15
2016
 SEC Enforcement Director Touts Success of SEC Whistleblower Program Zuckerman Law
Nov
17
2017
 SEC Enforcement Division Issues Report on Priorities and Fiscal Year 2017 Results Katten
Jun
10
2022
 SEC Enforcement Division to Increase Size of Crypto Assets and Cyber Unit Vedder Price
May
18
2020
 SEC Enforcement Expanding Efforts Regarding Coronavirus Impacts Faegre Drinker
Feb
7
2017
 SEC Enforcement Focused on Non-GAAP “Prominence” Requirement Hunton Andrews Kurth
Oct
28
2020
 SEC Enforcement in 2020, the Election & Future of the SEC [PODCAST] Faegre Drinker
Feb
22
2016
 SEC Enforcement Lays out Approach to Cybersecurity Cases Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Aug
11
2015
 SEC Enforcement Moves Toward Automatic Detection of Possible Accounting Fraud Vedder Price
Oct
26
2023
 SEC Enforcement Orders Issued for Employment & Separation Agreement Terms Dinsmore & Shohl LLP
Nov
19
2021
 SEC Enforcement Report Touts Volume of New Actions and Increase in Penalties Cadwalader, Wickersham & Taft LLP
Nov
3
2020
 SEC Enforcement Report Underscores the Role of Whistleblowers in Detecting Wrongdoing and Protecting Investors Zuckerman Law
Feb
15
2021
 SEC Enforcement Restores Subpoena Power Faegre Drinker
Nov
20
2023
 SEC Enforcement Results Highlight Record Year for Whistleblower Program Kohn, Kohn & Colapinto
Feb
14
2024
 SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements with Retail Clients K&L Gates
Feb
13
2024
 SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) K&L Gates
Jan
27
2021
 SEC Enforcement Victory in its Efforts to Police Cannabis Industry Investments Faegre Drinker
Oct
23
2023
 SEC Enforcement: Stoner Cats Settlement Signals Intensifying SEC Interest In NFT Offerings Barnes & Thornburg LLP
Sep
13
2023
 SEC Enforcements Against NFTs – Are You Next? Sheppard, Mullin, Richter & Hampton LLP
Nov
4
2020
 SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways Proskauer Rose LLP
Nov
28
2018
 SEC Enforcement’s Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, and Individual Accountability Sheppard, Mullin, Richter & Hampton LLP
Oct
2
2020
 SEC Enforcement’s First Public Company Cases Resulting from its EPS Initiative Faegre Drinker
Nov
12
2019
 SEC Enforcers Continue to Focus on Undisclosed Fees Proskauer Rose LLP
Oct
2
2015
 SEC Equity Market Structure Advisory Committee Squire Patton Boggs (US) LLP
Apr
26
2022
 SEC ESG Changes: What Companies Can Do To Prepare CMBG3 Law
Mar
16
2022
 SEC ESG Decision Set For March 21 CMBG3 Law
May
6
2022
 SEC ESG Task Force Charges First Company For ESG Fraud CMBG3 Law
Jan
20
2022
 SEC Evaluates Changes to Its Investor Counting Rules Potentially Forcing Large Private Companies into the Public Reporting Regime K&L Gates
Mar
5
2021
 SEC Exam Priorities for 2021 – Focus on Seniors, Reg. BI and Climate Risk (ESG) Mintz
Mar
11
2021
 SEC Exam Priorities for 2021: What You Need to Know Epstein Becker & Green, P.C.
Nov
19
2015
 SEC Exam Staff Shares Observations on Outsourced Chief Compliance Officers Morgan, Lewis & Bockius LLP
Feb
4
2015
 SEC Examination Priorities for 2015 Faegre Drinker
Jan
16
2015
 SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other Illegal Activity Proskauer Rose LLP
Jan
20
2015
 SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO] Katten
Mar
5
2021
 SEC Examination Risk Alert Signals Focus on Digital Asset Securities Foley & Lardner LLP
Feb
16
2023
 SEC Examinations in 2023 to Focus on “Riskier Private Funds” and New Marketing Rule Proskauer Rose LLP
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