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
23
2023
 YA Global Investments, LP v. Commissioner: Tax Court Rules that Fund was Engaged in U.S. Trade or Business Foley & Lardner LLP
Nov
22
2023
 What Are the Damages for Violating Washington’s My Health My Data Act? Greenberg Traurig, LLP
Nov
22
2023
 Washington’s My Health, My Data Act: Is Your Entity Exempt From Washington’s New Health Data Law? Greenberg Traurig, LLP
Nov
21
2023
 Under the GDPR, Is an Organization Required to Distribute its Privacy Notice to Every Individual Whose Information Is Used to Train an AI? Greenberg Traurig, LLP
Nov
21
2023
 Under the GDPR, what information should an organization that uses personal information to train an AI put in its privacy notice? Greenberg Traurig, LLP
Nov
21
2023
 SEC Defeats Summary Judgment in Insider-Trading Suit Alleging “Shadow Trading” Proskauer Rose LLP
Nov
21
2023
 California Privacy Regulators Move Forward with Enforcement of the CCPA Greenberg Traurig, LLP
Nov
21
2023
 Proxy Advisory Firm Issues Guidance on Cyber Oversight and Disclosure Hunton Andrews Kurth
Nov
21
2023
 The Reach Too Far: SEC Sues Over Botched School Audit Norris McLaughlin P.A.
Nov
20
2023
 SEC Enforcement Results Highlight Record Year for Whistleblower Program Kohn, Kohn & Colapinto
Nov
20
2023
 Opt-Outs in Securities Class Action Settlements More Likely in Recent Years, Especially for Large and Complex Cases Cornerstone Research
Nov
20
2023
 SEC Enforcement Actions Against Public Companies and Subsidiaries Jump in FY 2023 Cornerstone Research
Nov
20
2023
 Defining ‘sensitive data’: How do different states treat questions of gender and sexuality? Greenberg Traurig, LLP
Nov
20
2023
 2023 SEC Enforcement Results – Takeaways for Fund Managers Proskauer Rose LLP
Nov
20
2023
 Corporate Boards Mulling Effects of SEC Cyber Enforcement and CISO Exposure, and Possibly Hacker Complaints to SEC Jackson Lewis P.C.
Nov
20
2023
 Stay on Target: FINRA Proposes Rules Permitting Presentation of Performance Projections and Targets K&L Gates
Nov
20
2023
 Tokenized Products of SFC-Authorized Investment Products Can Be Offered to Retail Customers in Hong Kong K&L Gates
Nov
17
2023
 Ninth Circuit Provides Guidance on SEC Rule 16b-3 Short-Swing Profit Liability Exemption Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2023
 Parallel Derivative Action Settlements Update Cornerstone Research
Nov
17
2023
 Telehealth Providers: HHS Issues HIPAA Best Practices Foley & Lardner LLP
Nov
16
2023
 China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer Sheppard, Mullin, Richter & Hampton LLP
Nov
16
2023
 Privacy Challenges for Digital Advertising, Particularly in Europe Squire Patton Boggs (US) LLP
Nov
16
2023
 Privacy Tip #380 – Tips + Tools for Protecting Online Privacy Robinson & Cole LLP
Nov
16
2023
 Blockchain+ Bi-Weekly November 16, 2023 Polsinelli PC
Nov
15
2023
 The SEC’s New Clawback Rules: Things to Know as the Deadline to Adopt Compliant Policies Approaches Nelson Mullins
Nov
15
2023
 SEC Division of Examinations Publishes 2024 Priorities: Spotlight on Investment Advisers and Broker-Dealers Katten
Nov
15
2023
 Target Strikes Back at Shareholder's (Reverse) Social Justice Suit Mintz
Nov
15
2023
 Australian Privacy Regulator Sues in Data Breach Case Hunton Andrews Kurth
Nov
14
2023
 Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution Facility Rules Katten
Nov
14
2023
 SEC Enforcement Action for Rule 21F-17(a) Violations Katz Banks Kumin LLP
Nov
13
2023
 Sam Bankman-Fried Case Provides Lessons on Fraud and D&O Insurance Womble Bond Dickinson (US) LLP
Nov
13
2023
 Handle with Care: FCPA Travel & Hospitality Expenses Womble Bond Dickinson (US) LLP
Nov
13
2023
 Artificial Intelligence, the SEC, and What the Future May Hold Foley & Lardner LLP
Nov
13
2023
 Tokenization of SFC-Authorized Investment Products: What You Need to Know K&L Gates
Nov
13
2023
 The Nebulous Meaning Of "Small Business" In New Ban On Commercial Loan Fees Allen Matkins Leck Gamble Mallory & Natsis LLP
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