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
Sep
12
2017
 This California Court Held That A Limited Partnership Is No Person Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
28
2017
 Hacking EDGAR And Insider Trading Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
12
2017
 Standard Of Review Is Clear For Administrative Interpretations Of Statutes And Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
14
2017
 Did The Legislature Grant A License To Lie To The Cannabis Industry? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
11
2018
 Are Footnotes Verboten? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
10
2013
 An Exemption For Foreign Subsidiary Formation Under California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
May
31
2013
 Accountant’s Defamatory Report To Audit Committee Held To Be Absolutely Privileged Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
14
2018
 Why Does The SEC Insist That Some Defendants Lie? 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
Nov
18
2013
 An Unexpected Impasse Revisited - California Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
May
8
2019
 Friendship Formed In Middle School Yields Duty of Trust And Confidence Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
17
2013
 Did The SEC Make A Mistake? I Think Not. Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
1
2014
 CalPERS’ Offbeat Personal Trading Policy Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
2
2014
 This Plaintiff Dreamed Of Shares That Never Were Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
18
2019
 SEC Questions Puts Cart Before The Horse Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
28
2014
 How Will The Courts Interpret This? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
14
2014
 American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
21
2014
 Are Proper Names In A Language? Re: Corporation Names Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
22
2022
 A Truly Piscatory Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
20
2020
 Does This California Statute Arbitrarily Shackle Corporate Boards In Times of Emergency? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
21
2022
 SEC Doesn't Define It, But Insists That Every Issuer Have One Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
17
2020
 A "Security" By Another Name Is Carelessness Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
18
2014
 Oxfam America Sues The SEC (Again) For Dilatory Rule Making Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
22
2020
 Judge Dismisses Suit Challenging California's Female Director Quota Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
24
2022
 Is The End Of FINRA Drawing Nigh? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
12
2020
 Legislator Proposes Securities Law Exception For Digital Assets Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
6
2014
 Does “Valid Issuance” Require A Stock Certificate? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
14
2014
 California Court Of Appeal’s Long Opinion On Short Selling Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
30
2020
 Must The Board Approve All Corporate Giving? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
26
2014
 Ohio Federal Judge Orders Stockholder To “Register” Correspondence With The SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
13
2023
 California May Soon Require Institutional Investors, Securities And Real Estate Brokers, And Others To Report Diversity Status Of Startup Founding Teams Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
4
2015
 You Say Collectable, I Say Collectible Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
30
2015
 California District Court Refuses To Halt SEC Administrative Proceedings Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
21
2015
 How Many Board Members Are Required To Take Action? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
18
2015
 Shares “Of” Or “In” The Corporation? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
13
2023
 DFPI Posts Annual B-D/IA Report to the Legislature Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
22
2015
 California Judge Sides With Congress and Fifth Circuit In Whistleblower Split Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
19
2021
 Challenge To Nasdaq Diversity Rule Filed In Federal Court Of Appeals Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
31
2021
 SPACS And Tonopah Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
27
2021
 Could The SEC Have Made A Weaker Case For Mandating Enhanced Repurchase Disclosures? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
7
2016
 Resource Extraction Payments Disclosure: “I’ve Information Vegetable, Animal, and Mineral” Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
11
2016
 Did Utah’s Securities Commission Really Call Out California’s Commissioner? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
24
2016
 Ninth Circuit Finds No Reliance On Auditor’s Qualified Opinions Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
25
2022
 The SEC's Brobdingnagian Climate Change Disclosure Rule Proposal Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
14
2016
 Just How Many Errors Can Be Found In the California Securities Act? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
19
2022
 Filers Eschew "Special Military Operation" In Favor Of "War", "Conflict" and "Invasion" Allen Matkins Leck Gamble Mallory & Natsis LLP
May
5
2022
 If The SEC Favors Full Disclosure, Why Does It Have A "Gag Rule"? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
7
2016
 Is Certiorari Possibility For SLUSA Question Not Addressed By Any Federal Circuit Court? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
12
2016
 Securities: Is Rule 10b-5 The “Mother Of All Litotes”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
4
2016
 Corporate Boards of Directors: California, Delaware And Nevada Differ On Committee Composition Allen Matkins Leck Gamble Mallory & Natsis LLP
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