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
1
2012
 Public Company Control Alert: NYSE Acts to Further Limit Broker Votes on Specified Corporate Governance Proposals Sheppard, Mullin, Richter & Hampton LLP
Apr
8
2013
 Public Company M&A Development: Proposed Amendments to Section 251 of the Delaware General Corporation Law (DGCL) Should Lead to Increased Use of Negotiated Tender Offers Greenberg Traurig, LLP
Aug
17
2016
 Public Company Sanctioned by SEC for Including Illegal Anti-Whistleblower Provisions in Severance Agreements Katten
Feb
15
2016
 Public Disclosure of Government Investigation Can Establish Loss Causation, Ninth Circuit Holds ArentFox Schiff LLP
Nov
4
2016
 Public Finance Reminder: Change in Credit Rating Material Event Notices Dinsmore & Shohl LLP
Oct
17
2013
 Public Investors Arbitration Bar Association (PIABA) Calls Press Conference to Pressure for Further Restrictions on Broker Expungement Greenberg Traurig, LLP
Apr
18
2014
 Public Meeting Does Not Clarify Direction of PCAOB’s Proposal to Expand the Auditor’s Report - Public Company Accounting Oversight Board Morgan, Lewis & Bockius LLP
Mar
8
2021
 Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates Proskauer Rose LLP
Feb
23
2015
 Publicly Traded Companies and the Task of Succession Planning McBrayer, McGinnis, Leslie and Kirkland, PLLC
Jul
14
2014
 Puerto Rico Bonds: Legislation and Litigation Mintz
Sep
1
2015
 Pumping the Brakes on Shareholder Demands and Threats of Derivative Lawsuits against Your Company Horwood Marcus & Berk Chartered
Oct
23
2023
 Purchases and Sales of an Incorporated Business: Asset Acquisitions and Stock Sales Ward and Smith, P.A.
Oct
8
2018
 Put It In Prospectus: Reviewing the Congressional Lease Approval Process in Light of the Upcoming Lower Manhattan SEC Lease Covington & Burling LLP
May
10
2022
 Put Option Enforced: Conflict with Indian Exchange Control Laws Not a Ground for Setting Aside the Award in Singapore Nishith Desai Associates
Aug
19
2016
 Putting a Premium on Illiquidity: Some Reflections on the SEC’s Scrutiny of Valuation Practices and Disclosures Proskauer Rose LLP
Aug
29
2017
 Putting These Provisions In Bylaws Won’t Be Sufficient Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
21
2022
 Q&A on The Proposed ESG Reforms for Registered Funds: Addressing the Potential Challenges Imposed and Comment Opportunities K&L Gates
Jan
31
2022
 Q&A with the Mississippi Securities Division: From Ponzi Schemes to Cryptocurrency Bradley Arant Boult Cummings LLP
Oct
22
2010
 Q&A: Security Information and Event Management -SIEM Risk and Insurance Management Society, Inc. (RIMS)
Sep
21
2019
 QCA’s Updated Guidance for Audit Committees Squire Patton Boggs (US) LLP
Apr
29
2024
 QPAM Exemption Amendment—Key Takeaways and Action Steps for Advisors and Other Stakeholders K&L Gates
Aug
16
2019
 Qualifying Assets Under Investment Company Act Section 3(c)(5)(C) Mortgage Exemption Greenberg Traurig, LLP
Oct
8
2014
 Quantitative Easing: Who is the Federal Reserve Appeasing? Bilzin Sumberg
Apr
8
2014
 Quarterly Whistleblower Award Update Faegre Drinker
Aug
21
2014
 Quarterly Whistleblower Award Update - August 21, 2014 Faegre Drinker
Jun
6
2019
 Quest Diagnostics Reports Data Breach Affecting 11.9M Patients in Securities Filing Robinson & Cole LLP
Apr
14
2023
 Question of the Week: What is the most significant regulatory change you expect to see this year and why? Proskauer Rose LLP
Dec
7
2023
 Question of the Week: What Do You Expect the Biggest Impacts of Generative AI (GenAI) to be on M&A in the Next 12-18 Months? Proskauer Rose LLP
Oct
16
2013
 Questions About Third-Party Confirmations Of Accredited Investor Status Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
8
2015
 Questions and Answers Concerning Final Prudential Regulator Margin Rules for Non-Cleared Swaps Katten
Mar
14
2017
 Questions and Answers on State and Local Variations on the SEC Pay-to-Play Rule K&L Gates
Jul
14
2020
 Questions and Notes for the Second Quarter Earnings Season Jones Walker LLP
May
26
2009
 Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests Much Shelist, P.C.
Feb
5
2018
 Quiros to Pay $84 Million for EB-5 Investment Fraud Zuckerman Law
Mar
6
2013
 Raising Capital - What You Don’t Know Could Hurt You Lewis Roca Rothgerber LLP
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins