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
Dec
13
2022
 Considerations for Public Company Bylaw Amendments in View of the New SEC Universal Proxy Rules Greenberg Traurig, LLP
Mar
5
2013
 Considerations in Underwriting the Financial Gap Between Filing and Approval of the I-526 Petition Greenberg Traurig, LLP
Jan
10
2023
 Considering A Private Company New Year Investment? Pay Close Attention to Risks Posed by Potential Red Flags Bradley Arant Boult Cummings LLP
Apr
10
2015
 Constitutional Challenges to SEC Administrative Proceedings Proskauer Rose LLP
Mar
2
2023
 Consultation Paper On Review of Corporate Governance Norms For A High Value Debt Listed Entity Nishith Desai Associates
Aug
28
2018
 Consumer Advocates Launch Misguided Preemptive Attack on Arbitration Clauses in Corporate Governance Documents Ballard Spahr LLP
May
6
2016
 Consumer Finance Protection Bureau Proposes Ban on Mandatory Arbitration Clauses That Restrict Class Actions Morgan, Lewis & Bockius LLP
Jan
22
2013
 Consumer Financial Protection Bureau's Ability to Pay Rule Dinsmore & Shohl LLP
May
20
2014
 Consumer Futures Trading Commission (CFTC) Announces First Whistleblower Award Faegre Drinker
Jun
14
2016
 Contingent Deferred Swaps: Sometimes Truth is Stranger than Fiction Squire Patton Boggs (US) LLP
Apr
2
2018
 Continued Individual Liability Under the Bank Secrecy Act: The SEC Targets Two AML Compliance Officers and One CEO for Alleged AML/BSA Violations Ballard Spahr LLP
Nov
19
2018
 Continued SEC Enforcement in Digital Token Industry Likely Foretells Increase in Private Claims Polsinelli PC
May
28
2012
 Continued Uncertainty Surrounding the Future of the SEC’s “Neither Admit Nor Deny” Settlement Practice Vedder Price
May
27
2020
 Continuing Disclosure Amid the COVID-19 Pandemic Dinsmore & Shohl LLP
Mar
18
2012
 Contractual Non-Reliance Clauses: Insulating Defendants from Civil Fraud Claims Since 1995 Much Shelist, P.C.
Jan
3
2016
 Contractual Recognition of Bail-In – Are You Ready? - EU Bank Recovery and Resolution Directive Cadwalader, Wickersham & Taft LLP
Oct
8
2011
 Contractual Rights Vanish Again in the "Bermuda" of Triangular Setoff Bracewell LLP
Mar
16
2018
 Control Persons And Underwriter Status Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
14
2023
 Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution Facility Rules Katten
Sep
9
2022
 Cornerstone Research Connects: 2021 Accounting and Auditing Enforcement Activity [PODCAST] Cornerstone Research
Apr
1
2016
 Cornerstone Research Reports “Surge” in Securities Class-Action Settlements in 2015 Proskauer Rose LLP
Mar
7
2020
 Coronavirus and Considerations for Publicly Traded Companies Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2020
 Coronavirus and Guidance on SEC Disclosures Sheppard, Mullin, Richter & Hampton LLP
Apr
6
2020
 Coronavirus Disruption: Regulatory and Litigation Risks for Private Fund Managers Proskauer Rose LLP
Nov
30
2012
 Corp Fin Issues Staff Legal Bulletin on Shareholder Proposals ArentFox Schiff LLP
Nov
8
2017
 Corp Fin’s New Rule 701 C&DI And California’s Compensation Plan Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
20
2023
 Corporate Boards Mulling Effects of SEC Cyber Enforcement and CISO Exposure, and Possibly Hacker Complaints to SEC Jackson Lewis P.C.
Aug
4
2016
 Corporate Boards of Directors: California, Delaware And Nevada Differ On Committee Composition Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
15
2012
 Corporate Buyers Beware: FCPA Successor Liability – A Growing Threat McDermott Will & Emery
Apr
28
2020
 Corporate Caution during COVID-19 Proskauer Rose LLP
Jun
30
2023
 Corporate Debt Market Development Fund & Other Key Amendments Introduced by SEBI Nishith Desai Associates
Apr
18
2017
 Corporate Director Liability: Corwin v. KKR Fin. Holdings Cannot Cleanse Everything Dinsmore & Shohl LLP
Jul
6
2022
 Corporate Environmental Impact: SEC Proposes Detailed Climate-Related Disclosures Foley & Lardner LLP
Apr
21
2022
 Corporate Governance Considerations Under the SEC's Proposed Climate Disclosure Rules Bracewell LLP
Nov
3
2016
 Corporate Governance: When CEOs Read This, They May Become Less Enamored Of Delaware Allen Matkins Leck Gamble Mallory & Natsis LLP
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