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
Feb
12
2016
 Article 55 BRRD Can Impact Your Company Greenberg Traurig, LLP
Nov
13
2023
 Artificial Intelligence, the SEC, and What the Future May Hold Foley & Lardner LLP
Jun
2
2022
 As Part of Global Crackdown on Greenwashing, German Prosecutors Raid Asset Manager Mintz
Jul
21
2021
 As Use Of SPACs Increase $8 Million Settlement Cautions Due Diligence Barnes & Thornburg LLP
Dec
19
2017
 ASIC Broadens Fintech Cooperation With Canadian Regulators K&L Gates
Nov
30
2017
 ASIC Changes To Licence Processing Timelines And Fee Regime K&L Gates
Aug
23
2019
 ASIC Releases Draft Whistleblower Policy Guide K&L Gates
Jun
3
2019
 ASIC Updates Guidance On Initial Coin Offerings And Crypto-Assets K&L Gates
Apr
30
2018
 ASIC: Australian Laws Still Apply to ICOs Created and Offered Overseas K&L Gates
Feb
6
2023
 Assembly Member Takes Another Run At Digital Financial Asset Law Allen Matkins Leck Gamble Mallory & Natsis LLP
May
19
2009
 Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies Much Shelist, P.C.
Oct
20
2023
 Assessment of the SEC’s Progress on Its 2023 Rulemaking Agenda Greenberg Traurig, LLP
Aug
14
2015
 Asset Protection Planning - Part 4 - Business Entities, Trusts and Case Studies [Audio Podcast] Odin, Feldman & Pittleman, P.C.
Nov
24
2014
 Asset Purchase: Initial Considerations McBrayer, McGinnis, Leslie and Kirkland, PLLC
Apr
24
2015
 Asset vs. Stock Purchase: Basic Asset Purchase Agreement Provisions McBrayer, McGinnis, Leslie and Kirkland, PLLC
Sep
17
2015
 Asset-Level Data for Legacy Deals, and Risk Retention for Resecuritizations Morgan, Lewis & Bockius LLP
Sep
23
2015
 Assistant Attorney General Caldwell Clarifies Application of Yates Memo on Individual Accountability Mintz
Mar
1
2018
 ASX Listings and Cryptocurrencies K&L Gates
Aug
30
2019
 ASX Releases Compliance Update For Listed Entities On Cryptocurrency-Related Activities K&L Gates
May
3
2018
 ASX Releases Consultation Paper on its Proposed Blockchain-Based Replacement to Chess K&L Gates
Sep
26
2017
 At Last! Relaxation of Federal Securities Regulations for Private Company Stock Incentive Awards may be on the Horizon Sheppard, Mullin, Richter & Hampton LLP
Sep
24
2013
 At Long Last: Securities and Exchange Commission (SEC) Proposes New Rules to Compel Disclosure of CEO Pay as Ratio to Median Employee Pay Sheppard, Mullin, Richter & Hampton LLP
Apr
7
2013
 Attacks on Proxy Statement Equity Compensation Disclosure Katten
Aug
17
2010
 Attention Investment Advisers: Plain English Brochure Rule Adopted Dinsmore & Shohl LLP
Oct
9
2017
 Attention Investment Advisers: Rules Are Not Statutes Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
12
2013
 Attention Private Fund Advisers: Are you Registered as a Broker-Dealer? Should You Be? Neal, Gerber & Eisenberg LLP
Apr
12
2022
 Attestation: Practical Reflections on What the SEC Climate Proposal Will Require Bracewell LLP
Oct
3
2014
 Attorney-Client Privilege No Shield to Stockholder’s Demand for Internal Review Documents, Delaware High Court Rules Jackson Lewis P.C.
Feb
7
2022
 Attorneys General to Increase Enforcement Efforts on “Dark Patterns” Hunton Andrews Kurth
May
27
2015
 Audit Committee Dialogue from the PCAOB - Public Company Accounting Oversight Board Faegre Drinker
Mar
27
2014
 Audit Committee Member Charged with Fraud for Disregarding Red Flags Morgan, Lewis & Bockius LLP
Jun
5
2018
 Audit Committees Bridging the GAAP Faegre Drinker
Dec
14
2020
 Auditor Receives SEC Whistleblower Award of More Than $300,000 Kohn, Kohn & Colapinto
Nov
19
2019
 Auditor’s Report Indicates that Cybersecurity Disclosures May Be Protected Under SOX Zuckerman Law
Aug
31
2015
 August 2015 Compilation of Enforcement and Non-Enforcement Actions Foley & Lardner LLP
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