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
Jan
12
2016
 Cybersecurity Tops SEC Office of Compliance Inspections 2016 Examination Priorities Mintz
Sep
2
2021
 Cybersecurity Whistleblowers Protect the House Tycko & Zavareei LLP
Sep
11
2014
 Cybersecurity: Litigation, Crime & Enforcement-September, 2014 Faegre Drinker
Apr
12
2013
 Cyprus Bailout: Potential Recourse for Lost Investments Morgan, Lewis & Bockius LLP
Sep
9
2010
 D&O Insurance in the Land Down Under as Security Class Action Lawsuits are on the Rise. Risk and Insurance Management Society, Inc. (RIMS)
Apr
15
2014
 D.C. Appellate Court Issues Opinion on SEC’s Conflict Minerals Rule - Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Oct
9
2014
 D.C. Bill Ostensibly Lowers Tax on Capital Gains from Qualified High Technology Company (QHTC) Investments… But How? McDermott Will & Emery
Sep
2
2016
 D.C. Circuit Affirms Constitutionality of SEC’s In-House Tribunals Barnes & Thornburg LLP
Apr
22
2014
 D.C. Circuit Court of Appeals Issues Ruling on Conflict Minerals Faegre Drinker
Sep
3
2015
 D.C. Circuit Court Rules That The SEC Unlawfully Withheld Action Mandated By Congress Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
30
2015
 D.C. Circuit Denies Petition for Rehearing Conflict Minerals Rule Case Hunton Andrews Kurth
Aug
4
2015
 D.C. Circuit Holds “Boilerplate” Forward-Looking Statements Are Not Entitled to PSLRA’s “Safe Harbor” Mintz
Jul
24
2011
 D.C. Circuit Invalidates SEC's Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Sep
30
2015
 D.C. Circuit Joins Seventh Circuit in Rejecting Court Challenges to Pending SEC Administrative Enforcement Proceedings Proskauer Rose LLP
Jun
30
2020
 D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates Sheppard, Mullin, Richter & Hampton LLP
Apr
16
2014
 D.C. Circuit Ruling on Industry Challenge and New SEC (Securities and Exchange Commission) Conflict Minerals Disclosure Guidance Beveridge & Diamond PC
May
12
2015
 D.C. Circuit Says “Heads I Win, Tails You Lose” Is Maybe Not the Best Set of Rules for Criminal Forfeiture Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Nov
20
2014
 D.C. Circuit to Reconsider Conflict Minerals Ruling; Initiatives Proceed in the European Union and China Beveridge & Diamond PC
Aug
27
2010
 D.C. Circuit Vacates Proposed Fee For NYSE Arca "Depth-Of-Book" Data And Remands To SEC For Further Review Sheppard, Mullin, Richter & Hampton LLP
Jun
14
2022
 D.C. Circuit: No Award to Whistleblower Who Made Disclosure Before Enactment of SEC’s Whistleblower Program Proskauer Rose LLP
Oct
1
2014
 D.C. Court Dismisses Challenge to SEC Pay to Play Rule (For Now) Covington & Burling LLP
Apr
13
2013
 D.C. Developments on the Cybersecurity Front – UPDATE Mintz
Feb
2
2016
 D.C. District Court Declines To Redress SEC’s Failure To Respond To Petition Seeking Political Spending Disclosure Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
6
2013
 D.C. District Court Upholds Dodd-Frank Conflict Minerals Rule Hunton Andrews Kurth
Jul
25
2013
 D.C. District Court Upholds SEC's Conflict Minerals Rules, Government Accountability Office (GAO) Report Questions Effectiveness on Humanitarian Efforts Greenberg Traurig, LLP
Jul
16
2013
 D.C. District Court Vacates SEC’s Resource Extraction Issuer Rule Katten
Sep
20
2014
 D.C. Judge Rules in Favor of CFTC on Cross-Border Application of Dodd-Frank Rules Katten
Apr
1
2020
 Dangerous Waters: The Pitfalls of Margin Calls Greenberg Traurig, LLP
Sep
30
2022
 DAOs in CFTC’s Enforcement Crosshairs Cadwalader, Wickersham & Taft LLP
Nov
23
2021
 DAOsing Rods and the Power of Enforcement Prediction Polsinelli PC
Nov
6
2023
 Data (D)Riven: SEC Sanctions Market Players for Trade Info Failures Norris McLaughlin P.A.
Oct
31
2023
 Data Breach 911: Five Immediate Steps to Take Bradley Arant Boult Cummings LLP
May
7
2015
 Data Breaches: Every Company Is at Risk - Part 2 - Cynthia LaRose of Mintz Levin [VIDEO] Mintz
May
25
2021
 Data Integrity: The SEC Sanctions S & P Dow Jones Indices LLC Norris McLaughlin P.A.
Jun
22
2015
 Data Security Breach Documents Sought in Home Depot Books-and-Records Suit Mintz
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