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
Jan
30
2023
 Congress Codifies Longstanding M&A Broker Exemption from SEC Registration Greenberg Traurig, LLP
Jan
30
2023
 Outside Tips: SEC Sues Trio for Trading on Equifax Breach Norris McLaughlin P.A.
Jan
29
2023
 2022 Delaware Corporate Law Year in Review Greenberg Traurig, LLP
Jan
27
2023
 Federal Reserve Issues Policy Statement Limiting Crypto-Activities of State Member Banks K&L Gates
Jan
27
2023
 IRS Releases Memorandum on Deducting Cryptocurrency Losses McDermott Will & Emery
Jan
26
2023
 SEC Re-Proposes Dodd-Frank Act Section 621 Conflicts of Interest Rule Cadwalader, Wickersham & Taft LLP
Jan
26
2023
 2022 Uniform Commercial Code Amendments Address Emerging Digital Technologies Steptoe & Johnson PLLC
Jan
25
2023
 Florida CFO Bans ESG Investing By Florida Deferred Compensation Plan Mintz
Jan
25
2023
 SEC Issues FAQ With Additional Guidance On New Marketing Rule Barnes & Thornburg LLP
Jan
25
2023
 "The Horror! The Horror!" - Scholars Accuse Twitter Directors Of Putting Stockholders First! Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
25
2023
 2023 Environmental, Health, and Safety Outlook for Manufacturers Robinson & Cole LLP
Jan
24
2023
 Joint Whistleblowers Receive $28 Million Award from SEC Kohn, Kohn & Colapinto
Jan
23
2023
 Securities Litigation Alert: Second Circuit Adopts Restrictive View of Purchaser-Seller Rule, Limiting Section 10(b) Standing to Transactions in Securities of Company “About Which” Alleged Misstatements Were Made Cadwalader, Wickersham & Taft LLP
Jan
23
2023
 Ninth Circuit Applies Lower Standard for Pleading Scienter Under § 14(e) of Securities Exchange Act Even as to Opinions Proskauer Rose LLP
Jan
23
2023
 Hack Attack: SEC Charges 18 Individuals and Entities with Microcap “Pump and Dump” Norris McLaughlin P.A.
Jan
20
2023
 Fifth Circuit Revives Securities Class Action Against Six Flags Proskauer Rose LLP
Jan
20
2023
 Recent First Circuit Opinion in SEC v. Lemelson Provides a Roadmap for Section 10(b) Cases Involving an Opinion Defense Mintz
Jan
20
2023
 SEC Proposes to Establish a New Best Execution Standard Greenberg Traurig, LLP
Jan
20
2023
 AIF Participation in Credit Default Swaps Nishith Desai Associates
Jan
19
2023
 SEC Whistleblowers Receive $18 Million After Tips Lead to Return of Funds to Harmed Investors Kohn, Kohn & Colapinto
Jan
19
2023
 SEC Tightens Cryptocurrency Enforcement Cornerstone Research
Jan
19
2023
 United Arab Emirates: SCA Overhauls Regulations Governing Foreign Fund Offerings K&L Gates
Jan
19
2023
 FAQs and Defense Strategies for FINRA Investigations Oberheiden P.C.
Jan
18
2023
 Progress for M&A Brokers: Congress Passes New Exemption from Securities Broker Registration K&L Gates
Jan
18
2023
 Wall Street Layoffs Could Spur Increase in Whistleblower Tips and Help the SEC Combat Market Manipulation Schemes Zuckerman Law
Jan
17
2023
 Does Your Cyber Insurance Policy Cover a Ransomware Attack? Bradley Arant Boult Cummings LLP
Jan
17
2023
 Bankruptcy Court Allows Service of a Subpoena Via Twitter Squire Patton Boggs (US) LLP
Jan
17
2023
 The Anti-Money Laundering Act of 2020 Gets a “Glow Up”: Congress Strengthens Enforcement by Clarifying Who Can Be a Protected Whistleblower and Enhancing Financial Incentives Epstein Becker & Green, P.C.
Jan
17
2023
 “Picking the Winner”: SEC Sanctions Investment Adviser and an Associate for “Rigging” the Game Norris McLaughlin P.A.
Jan
17
2023
 AUSTRALIA: ASIC Starts 2023 With Focus On Greenwashing K&L Gates
Jan
17
2023
 SEC Sues Law Firm for Refusing to Disclose List of Clients Affected by Cyberattack Squire Patton Boggs (US) LLP
Jan
14
2023
 SEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored Cyberattack Winstead
Jan
13
2023
 SEC Awards Over $6 Million to Whistleblowers in Three Seperate Awards Kohn, Kohn & Colapinto
Jan
13
2023
 SEC Suit Against Covington & Burling Threatens More Than Attorney-Client Privileged Information Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
12
2023
 SEC Adopts Final Amendments to Rule 10b5-1 and New Disclosure Requirements Greenberg Traurig, LLP
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