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
Aug
14
2023
 Cyber Safety Review Board Issues Compelling Report about Lapsus$, MFA Vulnerabilities, and Helpful Recommendations Jackson Lewis P.C.
Oct
3
2014
 Attorney-Client Privilege No Shield to Stockholder’s Demand for Internal Review Documents, Delaware High Court Rules Jackson Lewis P.C.
Nov
16
2020
 New FINRA Rule Limits Registered Persons From Being Named Customer’s Beneficiary Jackson Lewis P.C.
Mar
22
2023
 New Law Rewarding Whistleblowers May Lead to Substantial Increase in Whistleblower Claims Jackson Lewis P.C.
Nov
21
2019
 Over $2 Billion in Sanctions Ordered by the U.S. Securities and Exchange Commission Jackson Lewis P.C.
Sep
25
2014
 SEC Announces Record Whistleblower Award Of Over $30 Million Jackson Lewis P.C.
Apr
11
2022
 Refreshing Whistleblower Processes for the Remote Workplace: Best Practices Jackson Lewis P.C.
Mar
2
2017
 SEC CEO Pay Ratio Rule May Not Survive under New Administration Jackson Lewis P.C.
Mar
16
2017
 Circuit Split Over Protection Afforded By Dodd-Frank Whistleblower Provision Widens Jackson Lewis P.C.
May
29
2023
 NYSDFS Fines Lender and Mortgage Servicer $4.25M for Cybersecurity Failures Including Vendor Management Jackson Lewis P.C.
Sep
15
2023
 CPPA Mulls Draft Cybersecurity Audit Regulations Under CPRA Jackson Lewis P.C.
Apr
2
2015
 Confidentiality Agreements May Violate Dodd-Frank Act Jackson Lewis P.C.
May
17
2022
 ESG Taking Center Stage At The SEC – What Can Publicly Traded Employers Expect? Jackson Lewis P.C.
Nov
28
2022
 ‘Tis the Season… to Consider ESG Investments in Your 401(k) Plan Jackson Lewis P.C.
Oct
1
2015
 California Federal Court Adds to Debate over Scope of Dodd-Frank Act Anti-Retaliation Protection Jackson Lewis P.C.
Feb
13
2019
 A Look Back at Key Corporate Governance and Internal Investigations Issues in 2018 Jackson Lewis P.C.
Jul
27
2023
 The Good, the Bad and the Ugly in Secure 2.0: A Primer for Retail Employees Jackson Lewis P.C.
Jan
28
2014
 Clothing Manufacturer to Pay $4.8 Million Settlement to Investors for Immigration Violation Jackson Lewis P.C.
Oct
24
2023
 Delaware’s Governor Signed the Delaware Personal Data Privacy Act Jackson Lewis P.C.
Jan
3
2019
 The SEC Signals Heightened Attention to Cybersecurity and Public Disclosure Requirements Jackson Lewis P.C.
Nov
20
2023
 Corporate Boards Mulling Effects of SEC Cyber Enforcement and CISO Exposure, and Possibly Hacker Complaints to SEC Jackson Lewis P.C.
May
31
2016
 SEC Announces Third-Highest Award Ever to Whistleblower Jackson Lewis P.C.
Sep
1
2023
 Launch of European Travel Information and Authorization System (ETIAS) Delayed Again Jackson Lewis P.C.
Oct
12
2023
 Is Your Board Cyber-Ready? Leadership Steps to Support Corporate Cybersecurity Jackson Lewis P.C.
Jul
18
2023
 Connecticut Adds Protections for Health Data and Minors to Privacy Law Jackson Lewis P.C.
Oct
30
2023
 Cybersecurity Awareness Month Series: Cybersecurity is Important for Small Business Too Jackson Lewis P.C.
Jul
14
2014
 Supreme Court Returns to ERISA Statutory Basics, Rejects Moench Presumption: Implications for ESOP Trusts Holding Non-Publicly Traded Securities Jackson Lewis P.C.
Aug
4
2014
 Does Dodd-Frank Act Protect Whistleblower Who Did Not Report to SEC? Jackson Lewis P.C.
Nov
19
2021
 SEC Reports Significant Increases In FY2021 Whistleblower Program Jackson Lewis P.C.
Sep
22
2016
 U.S. Securities and Exchange Commission Surpasses $100 Million in Awards Through Whistleblower Program Jackson Lewis P.C.
Mar
9
2014
 Best Practices For Gramm-Leach-Bliley Compliance Re: Data Security and Customer Privacy Jackson Lewis P.C.
Mar
20
2020
 The SEC Reacts to COVID-19 Jackson Lewis P.C.
Apr
18
2019
 SEC Issues Privacy and Data Security Risk Alert Jackson Lewis P.C.
Apr
23
2014
 For Business: World Bank’s Anti-Corruption Ethics and Compliance Resource Jackson Lewis P.C.
Mar
21
2020
 The SEC Weighs In on Reporting Related to COVID-19 Jackson Lewis P.C.
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins