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.

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Nov
21
2014
 Business-Judgment Rule Applied in NY to Going-Private Transaction Where Procedural Protections Exist Proskauer Rose LLP
Nov
25
2014
 Private Equity Endures Heightened Public Scrutiny Proskauer Rose LLP
Sep
17
2020
 SEC Awards Whistleblower More Than $10 Million Proskauer Rose LLP
Oct
29
2020
 SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers Proskauer Rose LLP
Mar
16
2015
 SEC Approval of New FINRA Public Arbitrator Rule Imposes New Limits on the Pool of Potential Public Arbitrators Proskauer Rose LLP
Nov
4
2020
 SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways Proskauer Rose LLP
Apr
3
2015
 Second Circuit Denies DOJ’s Request for En Banc Review of Newman Proskauer Rose LLP
May
20
2021
 SEC Awards Four Whistleblowers More Than $31 Million Proskauer Rose LLP
Aug
25
2015
 SEC Brings First Major Cyber Insider Trading Case Against International Hacking Ring Proskauer Rose LLP
Aug
11
2021
 SEC Alleges Employer’s Compliance Manual Violates Rule 21F-17 Proskauer Rose LLP
Aug
30
2021
 Ex-Nikola Chairman Indicted for Securities Fraud Proskauer Rose LLP
Oct
1
2015
 Coding Errors Lead To SEC Sanctions for High-Frequency Trading Firm Proskauer Rose LLP
Oct
27
2015
 Ninth Circuit Rejects Adverse-Interest Exception in Fraud-on-the Market Securities Class Actions Proskauer Rose LLP
Feb
10
2022
 Decentralized Finance: The Next Frontier of SEC Enforcement Proskauer Rose LLP
Mar
11
2016
 Second Circuit Reinforces Liability Standard in Securities Cases Based on Statements of Opinion Proskauer Rose LLP
Mar
16
2016
 First SEC Case Against Municipal Advisor Under New Fiduciary Duty Proskauer Rose LLP
Mar
25
2022
 SEC Proposes Broad New Climate Change Disclosure Requirements Proskauer Rose LLP
May
17
2016
 Supreme Court Clarifies Jurisdiction Under Securities Exchange Act Proskauer Rose LLP
Jun
3
2016
 No Bounty For Purported Tipster Proskauer Rose LLP
Jun
10
2016
 SEC Issues $26M in Whistleblower Awards Over One-Month Period Proskauer Rose LLP
Aug
14
2016
 SEC Penalizes Company For Severance Language Purportedly Impeding Complaints Proskauer Rose LLP
Sep
1
2016
 SEC Issues $22 Million Whistleblower Award Proskauer Rose LLP
Nov
22
2016
 NY Law Journal Report: Trump And Future Of SEC Whistleblower Program Proskauer Rose LLP
Jul
31
2017
 SEC Speaks on Initial Coin Offerings: Tokens May Be Securities Proskauer Rose LLP
Jul
26
2022
 SEC Announces $17 Million Award to Whistleblower Proskauer Rose LLP
Aug
16
2022
 Blockchain Meets Morrison: Court Rejects Blockchain Class Settlement Because of Concerns About Adequacy of Representation Proskauer Rose LLP
Jan
4
2018
 Implications for Launch of tZERO, First U.S. Registered ATS Proskauer Rose LLP
Nov
2
2022
 Long Time Coming: SEC Adopts Final Dodd-Frank Clawback Rules Proskauer Rose LLP
Jan
25
2018
 Analysis of the SEC’s MiFID II No-Action Relief Proskauer Rose LLP
Feb
23
2018
 Fourth Circuit Upholds Disclosure of Government Subpoena as Evidence of Loss Causation Proskauer Rose LLP
May
3
2018
 Voluntary Remediation and the SEC: Six Key Elements and Three Potential Pitfalls Proskauer Rose LLP
Feb
6
2023
 2024 New York Budget Proposes Wide-Ranging Transaction Approval Requirement That Targets Private Investment in Physician Practices and MSOs, and Permits DOH to Extract Concessions Proskauer Rose LLP
Jun
20
2018
 SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2 Proskauer Rose LLP
Oct
4
2018
 SEC Charges Broker-Dealer and Investment Adviser with Violations of the Safeguards Rule and Identity Theft Red Flags Rule Proskauer Rose LLP
Jun
4
2023
 En Banc Ninth Circuit Upholds Delaware-Forum Bylaw That Prevents Assertion of Federal Proxy Claim in Derivative Action Proskauer Rose LLP
Jul
21
2023
 From Code to Consequence: CFTC Obtains Default Judgment Against Ooki DAO for Commodity Exchange Act Violations Proskauer Rose LLP
Mar
30
2019
 Two New Bitcoin ETF Proposals Pending as Cryptocurrency Markets Mature Proskauer Rose LLP
Jun
25
2019
 SEC Fines Fund Manager $5 Million Over Undervaluation of Assets Proskauer Rose LLP
Aug
28
2023
 IRS Offers Two-Year Transition Period to Implement SECURE 2.0 Roth Catch-Up Requirement Proskauer Rose LLP
Oct
31
2019
 SEC Attempts to Halt Telegram’s Planned Token Distribution Proskauer Rose LLP
Nov
25
2019
 SEC Releases FY 2019 Whistleblower Program Annual Report Proskauer Rose LLP
Dec
12
2019
 House Passes Proposed Legislation Defining Insider Trading Proskauer Rose LLP
Jan
16
2024
 SEC Approves Exchange Listing Applications for Spot Bitcoin ETPs Proskauer Rose LLP
Jul
24
2014
 Watchdogs Petition SEC to Strengthen Prohibitions Against Impeding Complaints to SEC Proskauer Rose LLP
Apr
5
2024
 SEC Voluntarily Stays Corporate ESG Disclosure Rules Pending Litigation Proskauer Rose LLP
Apr
28
2020
 Fund Adviser Receives $1 Million Penalty For Alleged Performance Misstatements in Private Fund Marketing Material Proskauer Rose LLP
Apr
15
2024
 Supreme Court Holds That Securities Fraud Statute Does Not Proscribe Pure Omissions Proskauer Rose LLP
Aug
13
2020
 Private Equity Adviser Settles with SEC for Misallocation of Internal Expenses Relating to “Third-Party Tasks” Proskauer Rose LLP
Aug
25
2020
 ESG-Focused Fund Strategies Face SEC Scrutiny on Disclosures and Internal Procedures Proskauer Rose LLP
Jan
16
2015
 SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other Illegal Activity Proskauer Rose LLP
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