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
27
2023
 Weekly Bankruptcy Alert (For the week ending July 23, 2023) Pierce Atwood LLP
Jul
27
2023
 United States: Updating – and Limiting – the Internet Advisers Exemption K&L Gates
Jul
27
2023
 Congress and the White House May Restrict U.S. Investments in Certain Chinese Industries Greenberg Traurig, LLP
Jul
27
2023
 Blockchain+ Bi-Weekly July 27, 2023 Polsinelli PC
Jul
27
2023
 SEC Adopts New Cybersecurity Rules for Public Companies Robinson & Cole LLP
Jul
27
2023
 United States: We’re Not in Kansas Anymore: The SEC Proposes Rules for The Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers K&L Gates
Jul
27
2023
 SEC Cryptocurrency Enforcement: June 2023 Update Cornerstone Research
Jul
27
2023
 Why a Recession Could Be Good for the Bond Market, the Banking Sector, and the Real Estate Market ArentFox Schiff LLP
Jul
26
2023
 District of NJ: Federal Courts Lack Jurisdiction to Enforce Preliminary Reinstatement Orders Under SOX Proskauer Rose LLP
Jul
26
2023
 Fighting Transnational Corruption: Why the Treasury Department Must Make Awards More Accessible to Whistleblowers in its AML Whistleblower Act Regulations Kohn, Kohn & Colapinto
Jul
26
2023
 CFPB's Focus on Standard-Form Consumer Agreements Warrants 'Fresh Eyes' on Consumer Template Disclosures Katten
Jul
26
2023
 Secure-Ing Insurance Company Separate Account Assets for ETFS K&L Gates
Jul
25
2023
 Financial Metrics in M&A Transactions: Evaluating Valuation Metrics, Pricing, and Potential Returns Foley & Lardner LLP
Jul
25
2023
 Science-Based Targets Initiative Releases Consultation Papers for Financial Institutions, Highlights Need for Renewable Power Financing Cadwalader, Wickersham & Taft LLP
Jul
25
2023
 Regulatory Framework for Privately-Offered Investment Funds in China: Implications and Compliance Sheppard, Mullin, Richter & Hampton LLP
Jul
25
2023
 IRS Criminal Investigation Division Is on The Hunt for Malta Pension Plan Participants and Promoters McDermott Will & Emery
Jul
25
2023
 ILPA Releases Continuation Fund Guidance ArentFox Schiff LLP
Jul
25
2023
 Back to the BIPA Norm—Illinois Supreme Court Refuses to Reconsider Cothron Decision Vedder Price
Jul
25
2023
 Court Finds Plaintiff Failed To Plead Impropriety Of LLC Distributions Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
24
2023
 JPMorgan Outlines Voluntary Carbon Market Principles Cadwalader, Wickersham & Taft LLP
Jul
24
2023
 Tax Court Case Watch: Tax Court Considers the Application of the Self-Employment Tax Rules to Investment Funds Mintz
Jul
24
2023
 SEC vs. Ripple: Reading the NFTea Leaves Foley & Lardner LLP
Jul
24
2023
 Number of Securities Class Action Filings Increased in First Half of 2023 Cornerstone Research
Jul
23
2023
 Kirschner Case Update: The SEC Declines to Weigh In Cadwalader, Wickersham & Taft LLP
Jul
22
2023
 Considerations for Administrative Agents ‘Fronting’ Funds Cadwalader, Wickersham & Taft LLP
Jul
21
2023
 State Comprehensive Privacy Laws – Beaver State Makes a Dozen Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2023
 From Code to Consequence: CFTC Obtains Default Judgment Against Ooki DAO for Commodity Exchange Act Violations Proskauer Rose LLP
Jul
20
2023
 CFTC Holds Second Voluntary Carbon Markets Convening Mintz
Jul
20
2023
 China Standard Contract That Impacts Transferring Personal Information from China K&L Gates
Jul
20
2023
 A Closer Look at the UK Chancellor’s ‘Collection of Announcements’ Cadwalader, Wickersham & Taft LLP
Jul
20
2023
 Connecticut Poised to Become Fifth State to Enact Comprehensive Consumer Data Privacy Law Foley & Lardner LLP
Jul
20
2023
 The UK and Europe Introduce New Securitisation Rules Cadwalader, Wickersham & Taft LLP
Jul
20
2023
 CCPA Relief at Risk: California Attorney General Announces New Investigative Sweep Vedder Price
Jul
20
2023
 SDNY’s Ripple Decision Could Have a Rippling Effect on SEC Enforcement Actions ArentFox Schiff LLP
Jul
20
2023
 FTC Reaches Settlement with Crypto Platform Sheppard, Mullin, Richter & Hampton LLP
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