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
20
2023
 Opt-Outs in Securities Class Action Settlements More Likely in Recent Years, Especially for Large and Complex Cases Cornerstone Research
Jul
8
2023
 Option Grant Practices: A Trap for the Unwary – Spring-Loading and Bullet-Dodging Proskauer Rose LLP
Jun
4
2014
 Oracular Utterances From California’s Civil Code Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
10
2018
 Order Awarding $54 Million to Two SEC Whistleblowers Provides Three Lessons for Whistleblowers Zuckerman Law
Jul
26
2013
 Order for Insider Trader to Pay $10.2 Million in Restitution to Morgan Stanley Affirmed Katten
Jul
12
2021
 Order Management System’s SEC Settlement Leaves More Questions Than Answers on What Constitutes “Broker” Activity Vedder Price
Mar
11
2013
 Oregon Flocks to Fraud on the Market Greenberg Traurig, LLP
Aug
29
2014
 Oregon State Court Refuses to Enforce Forum Selection Bylaw Katten
Sep
26
2014
 Organisation of Economic Co-operation and Development (OECD) Publishes Initial Recommendations on BEPS (Base Erosion and Profit Sharing) Katten
Apr
22
2024
 Organizational Integrity Shorts: The Importance of Post-Investigation Activities Sheppard, Mullin, Richter & Hampton LLP
May
16
2022
 Organizations Taking Into Account Increased Wildfire Risk Due to Climate Change Mintz
Aug
28
2015
 Original Judgment in Conflict Minerals Case Reaffirmed Hunton Andrews Kurth
Dec
21
2011
 OSHA’s Revision of Sarbanes-Oxley Whistleblower Regulations McDermott Will & Emery
Apr
4
2014
 OTC (Over the Counter) Derivatives Regulators Group Issues Report to G20 Katten
Nov
14
2014
 OTC Derivatives Regulators Group Issues Report to G20 Leaders Katten
Feb
21
2014
 OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - Re: Over-the-counter Financial Trading Markets Katten
Nov
1
2018
 Our Music Festival - Empowering a Decentralized Fanbase with Blockchain Sheppard, Mullin, Richter & Hampton LLP
Apr
1
2024
 Out of the Shadows: SEC Shines a Light on Insider Trading K&L Gates
Jul
17
2023
 Out With the Old, in with the New – Sec Scraps Swing Pricing Proposal, Removes Redemption Gates, and Mandates Liquidity Fees for Money Market Funds K&L Gates
Jul
22
2015
 Out-of-State M&A Lawyer Can Be Sued In California Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
28
2016
 Outgoing SEC Chair Reflects on the Agency’s Enforcement Program and Advocates for Increased Authority Proskauer Rose LLP
May
24
2023
 Outlook for the Global Venture Capital Market & the Need for Bipartisan Regulations [Video] Mintz
Jan
30
2023
 Outside Tips: SEC Sues Trio for Trading on Equifax Breach Norris McLaughlin P.A.
Sep
24
2021
 Over $1 Billion Whistleblower Awards Paid to Date by the SEC Proskauer Rose LLP
Nov
21
2019
 Over $2 Billion in Sanctions Ordered by the U.S. Securities and Exchange Commission Jackson Lewis P.C.
May
5
2022
 Over My Dead Body: Defendant Can’t “Wait Until He Dies” to Pay Arbitration Award McDermott Will & Emery
May
27
2015
 Overview of NRSRO Due Diligence Rules for Asset-backed Securities Issuers Morgan, Lewis & Bockius LLP
Mar
6
2015
 Oxfam America Argues SEC Has “Unlawfully Withheld And Unreasonably Delayed” Resource Extraction Rule 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
Sep
23
2014
 Oxfam America Takes A Stand, But Does It Have Standing? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
13
2015
 Pam Greene Discusses the Reasons Behind the Shift to Performance Based Equity Compensation and Outlines the Structure of Agreements [VIDEO] Mintz
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
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