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
Jul
6
2020
 Pandemic for Profit? – SEC Enforcement Patrols Press Releases Proskauer Rose LLP
Jul
8
2015
 Paralepsis--Mentioning The Unmentionable re: Corporate and Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
9
2022
 Parallel Derivative Action Settlement Outcomes Cornerstone Research
Nov
17
2023
 Parallel Derivative Action Settlements Update Cornerstone Research
May
15
2018
 Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 1): Interesting Angles on the DOL’s Fiduciary Rule #90 Faegre Drinker
May
22
2018
 Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 2): Interesting Angles on the DOL’s Fiduciary Rule #91 Faegre Drinker
Aug
7
2019
 Parents, Subsidiaries And Section 2115 Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
22
2014
 Parkcentral v. Porsche: Second Circuit Opens the Doors of Morrison, and Declines to Apply Section 10(b) to Domestic Securities-Based Swap Transactions Katten
Apr
17
2015
 Part 2 - Recent Enforcement Trends In Commodity Markets Barnes & Thornburg LLP
Mar
16
2018
 Part 2 of Undisclosed (and Disclosed) 12b-1 Fees: Interesting Angles on the DOL’s Fiduciary Rule #83 Faegre Drinker
Apr
29
2020
 Part 2: The Rise of the Enforcement Landscape [VIDEO] Hunton Andrews Kurth
Mar
8
2024
 Part 3: Separate Accounts and CFTC Regulation §1.44—Different Views of the Same Situation Blank Rome LLP
Feb
14
2012
 Part I: Update on CFTC Rules 4.5 and 4.13 for Registered Investment Companies and Hedge Funds Morgan, Lewis & Bockius LLP
Feb
19
2012
 Part II: Proposal to Harmonize CFTC and SEC Requirements for Registered Investment Companies as Commodity Pools Morgan, Lewis & Bockius LLP
May
31
2023
 Part II: With New DAO Law on the Books, Utah Joins Race with Wyoming and Tennessee to Become U.S. “Crypto Capital” Proskauer Rose LLP
Sep
11
2018
 Past is Prologue: A New Approach to Cross-Border Application of Dodd-Frank Swaps Provisions Covington & Burling LLP
May
29
2011
 Patent Rights and Attracting Investors Michael Best & Friedrich LLP
Mar
22
2020
 Patents Required to List on the Shanghai Stock Exchange’s Science & Technology Board Schwegman, Lundberg & Woessner, P.A.
Oct
16
2013
 Paving the Way for More Tender Offers: DGCL 251(h) Streamlines Two-Step Merger Process McDermott Will & Emery
Apr
25
2012
 Pay for the Chief: The Shareholders Speak Out Mintz
Sep
21
2017
 Pay Ratio Compliance is Around the Corner; Is Your Company Ready? Womble Bond Dickinson (US) LLP
Dec
19
2017
 Pay Ratio Disclosure And The Sometimes Mythical Median Employee Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
5
2018
 Pay Ratio Disclosure Fast Approaching Ballard Spahr LLP
Oct
6
2017
 Pay Ratio Disclosure is “On Schedule” Faegre Drinker
Apr
30
2018
 Pay Ratios And Sustainability Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
28
2022
 Pay Versus Performance Takes Center Stage Proskauer Rose LLP
Sep
30
2016
 Pay-To-Play Meets The California Labor Code Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
5
2022
 Pay-to-Play Regulation and Enforcement in 2022 Vedder Price
Oct
12
2017
 Pay-to-Play – SEC Expands Scope of Rule to CABs Proskauer Rose LLP
Jul
16
2013
 Pay-to-Play: Securities and Exchange Commission (SEC) Settles Enforcement Action Godfrey & Kahn S.C.
Jul
21
2022
 Payday Lender Ordered to Pay $39 Million in Misappropriated Funds Suit Sheppard, Mullin, Richter & Hampton LLP
Jul
19
2011
 Payments by Enron are "Settlement Payments" under the Bankruptcy Code's Safe Harbor Provisions Hunton Andrews Kurth
Apr
12
2012
 PBGC Announces New Enforcement Approach that Reduces Impact of ERISA Section 4062(e) on Financially Sound Employers McDermott Will & Emery
Jan
9
2016
 PCAOB Adopts New Rules Requiring Disclosure of Participants in Audit Katten
May
21
2015
 PCAOB Issues Its First Audit Committee Dialogue: Public Company Accounting Oversight Board ArentFox Schiff LLP
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