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
Feb
17
2017
 SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds Vedder Price
Apr
4
2016
 SEC Intervenes In Former In-House Attorney’s Whistleblower Lawsuit Proskauer Rose LLP
Nov
10
2014
 SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond Offering Document Mintz
Jan
31
2020
 SEC Investigating Cyberattacks Used to Find Secret Company Mergers Zuckerman Law
Jun
15
2022
 SEC Investigating Lack of Insider Trading Policies for NFT/Crypto Exchanges Sheppard, Mullin, Richter & Hampton LLP
Aug
3
2011
 SEC Investigating Shale Gas Producers Greenberg Traurig, LLP
May
6
2022
 SEC Investigations Relating to Record Preservation Practices Likely to Continue Vedder Price
Apr
7
2021
 SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption? Winstead
Nov
10
2014
 SEC Investment Management Director Speech Focuses on Alternative Mutual Fund Disclosures Katten
Oct
30
2017
 SEC Investor Advisory Committee Considers Blockchain Technology Greenberg Traurig, LLP
Sep
7
2021
 SEC Investor Advisory Committee Considers Recommendations to Tighten Rules for Insiders’ Trading Plans Proskauer Rose LLP
Oct
17
2014
 SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition Katten
Sep
20
2021
 SEC Is Exploring Reforms Regarding Private Fund Disclosure Of Conflicts Of Interest And Fees and Expenses Proskauer Rose LLP
Dec
3
2018
 SEC Is On The Look Out For Touts Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
22
2022
 SEC is Rumored to Be Dropping Scope 3 GHG Emissions Disclosures from Final Climate Disclosure Rule Mintz
Aug
19
2021
 SEC Is Still Cyber Serious About Disclosures Bracewell LLP
May
15
2015
 SEC Is Sued Again For Doing Nothing Allen Matkins Leck Gamble Mallory & Natsis LLP
May
20
2020
 SEC is Sued to Stop Collection of Personal Data of Retail Investors Mintz
Feb
26
2021
 SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers Katten
Oct
22
2018
 SEC Issues $1 Million Identity Theft Rule Fine Sheppard, Mullin, Richter & Hampton LLP
Nov
13
2020
 SEC Issues $1.1 Million Whistleblower Award to Individual Whose Independent Reporting Prevented Significant Investor Harm Kohn, Kohn & Colapinto
Jun
10
2016
 SEC Issues $17 Million Whistleblower Award Proskauer Rose LLP
Sep
1
2016
 SEC Issues $22 Million Whistleblower Award Proskauer Rose LLP
Jun
10
2016
 SEC Issues $26M in Whistleblower Awards Over One-Month Period Proskauer Rose LLP
Dec
11
2017
 SEC Issues $4.1 Million Award to Overseas Whistleblower Proskauer Rose LLP
Nov
8
2023
 SEC Issues $400,000 Whistleblower Award, Considers Significance of Information and Whistleblower’s Culpability Kohn, Kohn & Colapinto
Jan
9
2017
 SEC Issues $5.5 Million Whistleblower Award Proskauer Rose LLP
Nov
19
2020
 SEC Issues $900,000 Award to Whistleblower Who Reported Fraud Occurring Overseas Kohn, Kohn & Colapinto
Nov
18
2015
 SEC Issues a Risk Alert on the Current State of Outside Compliance Consultants Sheppard, Mullin, Richter & Hampton LLP
Jul
2
2020
 SEC Issues Additional Disclosure Guidance in Response to COVID-19 Polsinelli PC
Jun
11
2019
 SEC Issues Alert On Outsourcing and Data Security Sheppard, Mullin, Richter & Hampton LLP
Sep
10
2021
 SEC Issues an Investor Alert about Digital Asset and “Crypto” Investment Scams! Foley & Lardner LLP
Sep
22
2016
 SEC Issues Another Multi-Million Dollar Whistleblower Award Proskauer Rose LLP
May
2
2017
 SEC Issues Another Whistleblower Bounty Award Proskauer Rose LLP
Aug
1
2017
 SEC Issues Award To Whistleblower Despite Culpability And Delay Proskauer Rose LLP
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