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
Nov
24
2015
 Ninth Circuit Severely Limits “Rogue Employee” Exception for Corporations in Securities Fraud Cases Sheppard, Mullin, Richter & Hampton LLP
Apr
26
2018
 Ninth Circuit Splits From Other Circuits, Holding That a Negligence Standard Applies to a Claim Challenging Tender Offer Disclosures Under Section 14(e) Sheppard, Mullin, Richter & Hampton LLP
Aug
25
2020
 Ninth Circuit to Determine Whether Direct Listing Purchasers Have Standing Under Sections 11 and 12 of 1933 Act Mintz
Mar
9
2017
 Ninth Circuit — Dodd-Frank Protects Internal Whistleblowers Proskauer Rose LLP
Jan
20
2015
 No Action Letters: The SEC’s Rule 14a-8 Process Just Became Even More Pointlessly Outré Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
10
2020
 No Blue Sky For Almost A Half Century Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
3
2016
 No Bounty For Purported Tipster Proskauer Rose LLP
Sep
12
2023
 No Breach Too Small: OFSI Reports First Breach of UK’s Russian Sanctions Regulations Greenberg Traurig, LLP
Sep
13
2019
 No Equal Dignity For Corporate Officers Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
13
2022
 No File Number, No Filing Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
8
2021
 No Good Deed Goes Unpunished: Growing ESG Litigation Risks Womble Bond Dickinson (US) LLP
May
2
2013
 No Happy Trails For Victorville Tax Increment Bond Financing Allen Matkins Leck Gamble Mallory & Natsis LLP
May
19
2023
 No More Mr. Nice BI: Reg BI Violation Leads to Expulsion for FINRA Member Firm Mintz
Dec
27
2012
 No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) Katten
Jan
29
2016
 No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically Katten
Dec
26
2012
 No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net Capital and Customer Protection Rules Katten
Dec
15
2014
 Non-Competition Covenants: Seller Considerations and Approaches Greenberg Traurig, LLP
Feb
8
2024
 Non-Financial Corporate Reporting for U.S. Companies – Where to Start? Proskauer Rose LLP
Apr
21
2022
 Non-Fungible Trademark Infringement or Nominative Fair Use Token? Nike -v- StockX Duel Is on Pace To Shape the Future of the Metaverse ArentFox Schiff LLP
Jul
14
2016
 Non-GAAP Financial Measures: New SEC Scrutiny Hunton Andrews Kurth
Oct
21
2016
 Non-GAAP Update: SEC Continues Its Scrutiny of Financial Measures Faegre Drinker
Mar
21
2017
 Non-Use Agreement Need Not Precede Disclosure of Confidential Information Proskauer Rose LLP
May
9
2013
 Noncompliance with Continuing Disclosure Undertakings Creates Vacuum Where Other Public Statements by City Officials Held to 10b-5 Standard Hunton Andrews Kurth
Jul
28
2023
 Nonsensical Bill Requiring Founding Team Diversity Reports Advances Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
1
2015
 North American Securities Administrators Association (NASAA) Mistakes The Principal Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
30
2013
 North American Securities Administrators Association (NASAA) Supports Regulatory Relief For M&A Brokers Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
19
2014
 North American Securities Administrators Association (NASAA): State Securities Regulators’ Views on Top Emerging Enforcement Issues Barnes & Thornburg LLP
May
30
2020
 North American Securities Administrators Association Proposes Model State Whistleblower Rewards Legislation Zuckerman Law
Sep
14
2016
 North American Securities Administrators Association Releases 2015 Enforcement Report Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
20
2015
 North Carolina Business Court Awards Rule 11 Sanctions For Baseless Fiduciary Duty Claim Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Aug
28
2014
 North Carolina General Assembly Fails to Jump Start Our Businesses with Crowdfunding Legislation Poyner Spruill LLP
May
24
2017
 Northern District of New York Applies “Reasonable Belief” Standard Proskauer Rose LLP
Mar
20
2015
 Not All Investors Are Created Equal In The Eyes of the SEC: Why You Should Consider Only Accredited Investors in Your Startup Varnum LLP
Feb
20
2024
 Not Done Yet: Australia’s Odyssey Into Regulating Artificial Intelligence (AI) K&L Gates
Apr
18
2016
 Not Every Broker-Dealer is an EB-5 Broker-Dealer Greenberg Traurig, LLP
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