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
Oct
6
2015
 Raising Capital? Don’t Forget about SEC Filings (It’s Not as Difficult as It Sounds) Varnum LLP
May
18
2021
 Raising the Bar: SEC to Propose Increased Thresholds for Performance-Based Fees Norris McLaughlin P.A.
Nov
9
2014
 Raj Rajaratnam Appeals $92 Million Civil Fine to Second Circuit Court of Appeals Katten
Jul
8
2022
 Ramesh “Sunny” Balwani, Former Theranos President and COO, Found Guilty on All Twelve Fraud Counts in High-Profile Trial ArentFox Schiff LLP
Sep
12
2022
 Rate the Conflicts: SEC Sanctions Rating Agency and its Principal Norris McLaughlin P.A.
Oct
2
2014
 Re-Proposal of DOL Fiduciary Advice Regulation Faegre Drinker
Jul
21
2014
 Reader Responds to Recent Law Judge Blog Post on the SEC and the Increase in ALJs Barnes & Thornburg LLP
May
12
2015
 Ready for Investment? What to Expect in a Typical Preferred Stock Term Sheet Varnum LLP
Apr
28
2015
 Real Estate Developers Interested in Offering Equity or Debt for New Projects under Regulation A+ Stark & Stark
Oct
2
2019
 Real Estate Development Runs Afoul Of California Securities Laws Allen Matkins Leck Gamble Mallory & Natsis LLP
May
10
2017
 Real Estate Fund Advisers And Penumbra Registration Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
13
2014
 Realities of Phantom Stock and SAR’s (Stock Appreciation Rights) Odin, Feldman & Pittleman, P.C.
Feb
12
2024
 Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations Norris McLaughlin P.A.
Sep
12
2018
 Reasons to Include Only Accredited Investors in Your Rule 506(b) Private Offering Varnum LLP
Jul
15
2014
 Recent Amendments to Mexican Commercial Laws Greenberg Traurig, LLP
Apr
20
2021
 Recent Announcements by the SEC and DOL Highlight Emphasis on ESG Investing Vedder Price
May
28
2012
 Recent Case Emphasizes Importance of Fiduciary Decision-Making Process Poyner Spruill LLP
Nov
8
2012
 Recent Case Suggests How Private Equity Funds Can Protect Against Unfunded Pension Liabilities of Portfolio Companies McDermott Will & Emery
Jul
17
2018
 Recent CFTC Whistleblower Awards Signal Flexibility in Determining Award Percentage Zuckerman Law
Apr
23
2014
 Recent Charges Against China-Based Companies Demonstrate Securities and Exchange Commission's (SEC) Efforts to Bring More Financial Fraud Cases Faegre Drinker
Mar
24
2021
 Recent Climate and ESG Disclosure Activity — What does it mean for the SEC’s Conflict Minerals Rule? Squire Patton Boggs (US) LLP
Aug
1
2012
 Recent Corporate Aircraft Litigation Raises SEC Perquisite Disclosure Issues McDermott Will & Emery
Jul
17
2023
 Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy Katten
Jun
2
2014
 Recent Decision Demonstrates Reach of Lawson; Extends SOX (Sarbanes-Oxley) Whistleblower Protections to Employee of a Nonpublic Subsidiary of a Public Issuer Faegre Drinker
Sep
11
2013
 Recent Decisions Support More Employee-Friendly Interpretation of Sarbanes-Oxley Act Vedder Price
Apr
1
2024
 Recent Delaware Coverage Decisions on Relatedness Leaves D&O Claim Uncertainties Hunton Andrews Kurth
Jan
9
2018
 Recent Developments in Cryptocurrencies and Blockchain Technology in the Fund Industry Faegre Drinker
Jul
7
2009
 Recent Developments in Legal Ethics, January 2005 Fairfield and Woods P.C.
Dec
3
2012
 Recent Developments in Securities Law Class Actions ArentFox Schiff LLP
Dec
12
2014
 Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements Katten
May
10
2018
 Recent Developments Toward A Fiduciary Standard For Brokers Womble Bond Dickinson (US) LLP
Nov
8
2023
 Recent Discover Lawsuits Provide Compliance Lessons Squire Patton Boggs (US) LLP
Apr
13
2015
 Recent Enforcement Trends in the Commodity Markets (Part 1) Barnes & Thornburg LLP
Jan
20
2023
 Recent First Circuit Opinion in SEC v. Lemelson Provides a Roadmap for Section 10(b) Cases Involving an Opinion Defense Mintz
Dec
9
2012
 Recent FTC Enforcement Action Reinforces Narrow ‘Passive Investor' Exemption to HSR Reporting Requirements Greenberg Traurig, LLP
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