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
Apr
27
2013
 Delaware Supreme Court Upholds Federalism, Comity & Finality Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
19
2023
 Delaware's Definition Of "Officer" Fails To Define "Officer Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
2
2018
 What Can Be Done When Shareholders Can't Be Found Or Creditors Won't Accept Payment Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
21
2018
 Why I Disagree With A Semi-Annual Reporting Mandate (And It Probably Isn't The Reason That You Expect) Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
19
2013
 Does A Securities and Exchange Commission (SEC) Attorney Commit An Ethical Violation By Encouraging Whistleblowing Lawyers? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
19
2018
 Court Finds Section 12(a) Claim Fails For Failure To Plead Scienter? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
24
2018
 When To Worry About Blue Sky Laws Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
14
2013
 Securities and Exchange Commission's (SECs) Investor Advisory Committee Pushes For Oddly Named “Universal Proxy Ballots” Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
22
2013
 Is A Popularity Contest The Best Way To Pick A Proxy Advisor? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
3
2013
 Proxy Advisory Firms And Investment Adviser Registration Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
27
2019
 Judge Finds That Transfer Agent's Failure To Remove Restrictive Legend May Be Actionable Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
22
2014
 Just Who Is Behind The Universal Proxy? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
31
2019
 The PUHCA, A Long Time Passing Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
6
2019
 Is There Securities Fraud Without Reliance And Causation? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
26
2019
 California Enacts Another Risk Factor Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
20
2014
 Just What Does “Deem” Mean? Re: Legislation Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
15
2014
 SEC (Securities and Exchange Commission) Conflict Minerals Rules: Name And Shame No More? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
3
2023
 Court Finds That The SEC Acted Arbitrarily and Capriciously In Adopting Share Repurchase Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
13
2019
 Death Has No Sting For Securities Claims Allen Matkins Leck Gamble Mallory & Natsis LLP
May
12
2014
 A Shot In A Mug Of Beer May Not Be The Answer To This Exclusive Forum Bylaw Case Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
15
2020
 In This Case, The Contract Had No Beginning Allen Matkins Leck Gamble Mallory & Natsis LLP
May
22
2014
 Looking For The List Of Over-the-Counter (OTC) Margin Stocks? You’ll Find It In California’s New LLC Act Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
27
2020
 ETF Plaintiffs Find No Footing For Pursuit Of '33 Act Claims In California Court Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
11
2020
 Legislator Proposes Treble Damages And Unilateral Attorneys' Fee For Securities Claims Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
25
2020
 Update on Virtual Meetings of Stockholders of Nevada Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
7
2024
 Loss Of $6 Million in Deposits is No Forfeiture Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
26
2014
 California Company Sues Former Officer for Failing to File Form 4s Allen Matkins Leck Gamble Mallory & Natsis LLP
May
8
2020
 Why Your Stock Certificate Is Not A Security Allen Matkins Leck Gamble Mallory & Natsis LLP
May
13
2020
 Bill Proposes Bizarre Article Attestation Requirement Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
9
2014
 Why Does Determining A California Quorum Have To Be So Complicated? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2014
 Why The SEC Should Stay Out Of The Fee-Shifting Charter Debate Allen Matkins Leck Gamble Mallory & Natsis LLP
May
29
2020
 Nevada Rejects Fiduciary Exception To Attorney-Client Privilege Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
30
2014
 Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
25
2020
 To File Or Not To File Under Rule 260.103? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2014
 Commissioner Gallagher Posits SEC Would Prevail Against Harvard University Allen Matkins Leck Gamble Mallory & Natsis LLP
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