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
Mar
16
2014
 New York Department of Financial Services Issues Public Order to Invite Virtual Currency Exchange Proposals Katten
Jul
18
2014
 New York Department of Financial Services Proposes First Comprehensive Regulatory Framework for Virtual Currency Businesses Katten
Aug
4
2015
 New York District Court Appears to Sustain Attack on SEC Administrative Proceedings Proskauer Rose LLP
Mar
31
2013
 New York District Court Bars Discovery of SEC's Requests for Extension Under Dodd-Frank Katten
Aug
15
2014
 New York District Court Considers Prior SEC Complaint Evidence to Establish Scienter Under Private Securities Litigation Reform Act (PSLRA) Katten
Aug
13
2015
 New York District Court Preliminarily Enjoins SEC Administrative Proceeding Proskauer Rose LLP
Oct
7
2019
 New York Establishes Six-Year Statute of Limitation for Prosecution of Claims under the Martin Act Proskauer Rose LLP
Apr
9
2019
 New York Federal Court Denies Motion to Dismiss Securities Class Action Against Digital Token Issuer ATBCOIN Squire Patton Boggs (US) LLP
Aug
4
2014
 New York Federal Court Limits Scope of SEC Disgorgement In Case Involving Failure to Disclose Beneficial Interests Mintz
Sep
27
2018
 New York Federal Court’s View on Cryptocurrency as Securities Sheppard, Mullin, Richter & Hampton LLP
Dec
7
2020
 New York Guidance on Mandatory Filing of Form D Mintz
Jul
12
2011
 New York High Court Applies the "Single-Entity Exemption" in the Securities Litigation Uniform Standards Act of 1998 Sheppard, Mullin, Richter & Hampton LLP
Jan
6
2012
 New York High Court Holds That State Blue Sky Law Does Not Preempt Common Law Claims Involving Securities Sheppard, Mullin, Richter & Hampton LLP
Jul
12
2014
 New York Jury Acquits Former Hedge Fund Manager of Insider Trading Conspiracy Katten
May
8
2020
 New York Proposes New Rules to Modernize Securities Filings Affecting Private Funds and Significant Exam and Registration Requirements on "Finders" Katten
Jul
7
2023
 New York Pushes For New Cybersecurity Requirements For Financial Services Companies ArentFox Schiff LLP
Apr
27
2022
 New York Says Less than 10% Ownership of an Insurance Company Is Not a Safe Harbor McDermott Will & Emery
Sep
2
2010
 New York State Amends Power of Attorney Law Sheppard, Mullin, Richter & Hampton LLP
Nov
28
2023
 New York State Prepares to Regulate Hospital Cybersecurity Programs Mintz
Oct
11
2013
 New York Stock Exchange Proposes New Rules to Harmonize Quantitative Continued Listing Standards and Modify Reverse Merger Listing Requirements Katten
Dec
23
2014
 New York Times Discusses the Growth of Whistleblower Programs Proskauer Rose LLP
Sep
14
2009
 NEW YORK TRIAL COURT DENIES INSURED’S CLAIM FOR ATTORNEYS FEES AND COSTS PAID IN CONNECTION WITH THE SETTLEMENT OF PUBLIC INVESTIGATIONS FOR “MARKET TIMING” OF MUTUAL FUNDS Clark Hill PLC
Dec
4
2023
 New York “Denies Access” to Employers Seeking Login Credentials for Employee’s Social Media Accounts Foley & Lardner LLP
Nov
1
2010
 New York's High Court Rejects Attempts to Expand Liability of Outside Professional Service Providers for Failing to Detect Corporate Fraud Sheppard, Mullin, Richter & Hampton LLP
Jun
13
2023
 New Zealand Urges All Businesses to Adopt 2FA Squire Patton Boggs (US) LLP
Feb
7
2018
 New/Upcoming CFIUS Filing: Fujifilm Holding Corporation and Xerox Corporation Squire Patton Boggs (US) LLP
Apr
15
2012
 Newly Enacted JOBS Legislation Should Encourage Initial Public Offerings McDermott Will & Emery
Apr
14
2023
 Newly Registered Investment Advisors Tread Carefully: SEC Issues Risk Alert ArentFox Schiff LLP
Aug
10
2023
 Next Steps in the Proposed Replacement of the UK Securitisation Regulation Cadwalader, Wickersham & Taft LLP
Nov
8
2010
 Next Wave of MBS Litigation Focuses on Issuers, Underwriters Hunton Andrews Kurth
Jan
23
2015
 NFA (National Futures Association) Increases Minimum Security Deposits for Forex Transactions Katten
Jun
28
2014
 NFA (National Futures Association) Proposes Interpretive Notice Prohibiting the Use of Credit Cards to Fund Retail Forex or Futures Trading Accounts Katten
Jan
13
2019
 NFA Amends Interpretive Notice Regarding ISSPs Katten
Dec
22
2019
 NFA Announces Effective Date for Amendments to CTA Performance Reporting and Disclosures Requirements Katten
Mar
19
2020
 NFA Issues COVID-19 Alert on Business Continuity Plans, Relief for Branch Office Requirements and Reminder on Upcoming Deadline for CTA-PR Filing Relief Vedder Price
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