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
8
2023
 United States Supreme Court Holds That Section 11 Plaintiffs Must Purchase Securities Issued Under the Registration Statement They Seek to Challenge Sheppard, Mullin, Richter & Hampton LLP
Jun
7
2023
 SEC Files Desist & Refrain Order Against Coinbase Alleging Failure To Qualify Staking Rewards Program Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
7
2023
 Weekly IRS Roundup May 30 – June 2, 2023 McDermott Will & Emery
Jun
7
2023
 Making the Most of Continuation Funds Cadwalader, Wickersham & Taft LLP
Jun
7
2023
 U.S. Executive Branch Update – June 7, 2023 Squire Patton Boggs (US) LLP
Jun
7
2023
 Complying with the New SEC Marketing Rule: Seven Months in and Still Adapting Proskauer Rose LLP
Jun
7
2023
 Weekly Bankruptcy Alert June 5, 2023 (For the week ending June 4, 2023) Pierce Atwood LLP
Jun
6
2023
 Court of Appeal Applies Caremark/Marchand To Directors of a California Corporation But The Result May Surprise You Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2023
 ECB Reports Progress, Identifies Gaps in Banks’ Climate-Related Disclosures Cadwalader, Wickersham & Taft LLP
Jun
4
2023
 En Banc Ninth Circuit Upholds Delaware-Forum Bylaw That Prevents Assertion of Federal Proxy Claim in Derivative Action Proskauer Rose LLP
Jun
4
2023
 SEC Issues Largest Whistleblower Bounty Award Ever To One Individual Proskauer Rose LLP
Jun
4
2023
 Supreme Court Requires Traceability for Securities Act Claims Arising from Direct Listings Proskauer Rose LLP
Jun
3
2023
 Georgia Introduces New Commercial Financing Disclosure Requirements Sheppard, Mullin, Richter & Hampton LLP
Jun
2
2023
 Upcoming NYSE and NASDAQ Clawback Requirements Jones Walker LLP
Jun
2
2023
 A Long Hot Summer: Effective Variable Rates Subject to Increase (Irrespective of General Market Conditions) ArentFox Schiff LLP
Jun
1
2023
 Are Some Tokens Securities? Stock? And What Does It Mean for Taxes? ASKramer Law
Jun
1
2023
 IRS Issues Notice Regarding Expansion of EPCRS under SECURE 2.0 Act Miller Canfield
Jun
1
2023
 Health Care Fraud and Labor Unrest Top Today’s Docket – SCOTUS Today Epstein Becker & Green, P.C.
May
31
2023
 Part II: With New DAO Law on the Books, Utah Joins Race with Wyoming and Tennessee to Become U.S. “Crypto Capital” Proskauer Rose LLP
May
31
2023
 China: MOU of ETF Products Between China and Singapore Exchanges K&L Gates
May
31
2023
 Michigan Court of Appeals Broadens Potential Exposure to Securities Fraud by Issuers and Sellers of Debt Instruments in Michigan Miller Canfield
May
31
2023
 Ninth Circuit Declines To Aggregate Loans For Usury Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
May
31
2023
 Securities Litigation Alert: Ninth Circuit Clarifies Standards Governing the Statute of Limitations for Private Claims Under Section 10(b) of the Securities Exchange Act of 1934 Cadwalader, Wickersham & Taft LLP
May
31
2023
 SEC Adopts Final Rule Amendments to Form PF Katten
May
30
2023
 Rise in VCM Business May Trigger CFTC Oversight on Sales of Carbon Offset Credits ArentFox Schiff LLP
May
30
2023
 Study Assesses Cost of Climate Litigation on Shareholder Value Cadwalader, Wickersham & Taft LLP
May
29
2023
 Minnesota Establishes State-Sponsored ‘Secure Choice’ Retirement Program for Private-Sector Employers Without Retirement Plans Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
May
29
2023
 Are Loans Securities? A Kirschner Case Update Cadwalader, Wickersham & Taft LLP
May
29
2023
 Australia: Proposed Reforms To The Anti-Money Laundering And Counter-Terrorism Financing Regime K&L Gates
May
29
2023
 Energy & Sustainability Litigation Updates — May 2023 Mintz
May
29
2023
 TNFD Publishes Final Draft Disclosure Framework Cadwalader, Wickersham & Taft LLP
May
29
2023
 NYSDFS Fines Lender and Mortgage Servicer $4.25M for Cybersecurity Failures Including Vendor Management Jackson Lewis P.C.
May
25
2023
 Report Underscores Challenges of Attracting Capital for Renewable Energy Development in the ASEAN Region Cadwalader, Wickersham & Taft LLP
May
25
2023
 (UK) Pensions – A Pot to Play for? Squire Patton Boggs (US) LLP
May
25
2023
 The EGG Debate Heats Up: State AGs Investigating Asset Manager Involvement in ESG Initiatives and Related Proxy Voting K&L Gates
May
25
2023
 SEC Off-Channel Communications Sweep Sheppard, Mullin, Richter & Hampton LLP
May
25
2023
 Time to Say Goodbye to Your Business Partner: When Subtraction Can Result in Addition for the Company Bradley Arant Boult Cummings LLP
May
24
2023
 The Origins and Current State of the Debt Limit (or Debt Ceiling) Squire Patton Boggs (US) LLP
May
24
2023
 Outlook for the Global Venture Capital Market & the Need for Bipartisan Regulations [Video] Mintz
May
23
2023
 Does A Board Have a Fiduciary Duty to Eliminate Delaware Franchise Taxes by Reincorporating in Nevada? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
23
2023
 New Conference, More Rulemaking? K&L Gates
May
23
2023
 Study Explores Links Between a Company’s ESG Focus and its Financial Performance Cadwalader, Wickersham & Taft LLP
May
22
2023
 Regulator’s Review of Pension Scheme Climate Reports Finds Room for Improvement Cadwalader, Wickersham & Taft LLP
May
20
2023
 UK Imposes New Russia Sanctions on 86 People and Companies, Including Metal and Diamond Industries Greenberg Traurig, LLP
May
19
2023
 SEC Commissioner Peirce Continues to Criticize Proposed ESG Rules Mintz
May
19
2023
 Upstream and Affiliate Guaranties in NAV Loans Cadwalader, Wickersham & Taft LLP
May
19
2023
 Banking Industry May 2023 Cornerstone Research
May
19
2023
 Alleged Market Manipulation and the Pre-hedging of Large Trades Cornerstone Research
May
19
2023
 SEC Adopts Final Share Repurchase Rules Barnes & Thornburg LLP
May
19
2023
 No More Mr. Nice BI: Reg BI Violation Leads to Expulsion for FINRA Member Firm Mintz
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