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
Apr
2
2018
 Continued Individual Liability Under the Bank Secrecy Act: The SEC Targets Two AML Compliance Officers and One CEO for Alleged AML/BSA Violations Ballard Spahr LLP
Feb
8
2018
 AML/BSA Focus by U.S. Senate Committee Testimony – From Beneficial Ownership to Cryptocurrency Ballard Spahr LLP
Jun
28
2018
 CFPB ends investigation of Zillow Ballard Spahr LLP
Aug
29
2018
 SEC Consumer Advocates Launch Misguided Preemptive Attack on Arbitration Clauses Ballard Spahr LLP
Jan
19
2018
 SEC and CFTC Issue Joint Statement on Virtual Currency Enforcement Actions Ballard Spahr LLP
Feb
8
2018
 SEC Targets AML as Exam Priority Ballard Spahr LLP
Jun
22
2018
 Has the SEC Lost Home Court Advantage? Ballard Spahr LLP
Dec
20
2018
 Clearing Broker Continues to Take Aim at SEC’s Ability to Enforce the BSA Ballard Spahr LLP
Sep
1
2017
 CFPB Director Cordray Keeps Mum on Departure Plans Ballard Spahr LLP
Mar
6
2019
 CFPB Sends Letters Inviting Submission of Diversity and Inclusion Self-Assessments Ballard Spahr LLP
Feb
26
2018
 SEC Releases Guidance on Cybersecurity Disclosures Ballard Spahr LLP
Aug
31
2018
 SEC Requires Addition of Two New Events to Continuing Disclosure Undertakings Beginning February 27, 2019 Ballard Spahr LLP
Jul
12
2018
 New SEC Thresholds in Definition of Smaller Reporting Company Effective September 10 Ballard Spahr LLP
Oct
22
2018
 SEC Special Report: Rampant Business Email Compromises Require Reassessment of Internal Accounting Controls Ballard Spahr LLP
Jul
2
2018
 When A Money Laundering Investigation Turns Into a Class Action Complaint: The Latest Round in BofI’s Fight to Put Money Laundering Allegations in the Rearview Mirror Ballard Spahr LLP
Oct
25
2017
 SEC Approves New Standards for Independent Auditors Ballard Spahr LLP
Dec
12
2017
 DOJ sides with Lucia against the SEC in dispute over whether ALJs are inferior officers Ballard Spahr LLP
Aug
20
2019
 SEC Signals New Phase of Regulation FD Enforcement Ballard Spahr LLP
Dec
26
2018
 Court Decision Reinforces SAR Obligations of Penny Stock Clearing Brokers Ballard Spahr LLP
May
15
2019
 SEC Proposes Amendments to Financial Disclosures about Business Acquisitions and Dispositions Ballard Spahr LLP
May
11
2018
 The Hacked & the Hacker-for-Hire: Lessons from the Yahoo Data Breaches (So Far) Ballard Spahr LLP
May
25
2018
 SEC Sanctions Broker-Dealer, Clearing Firm and Chief Compliance Officer for AML Violations Ballard Spahr LLP
Dec
28
2018
 SEC Adopts Final Rule Expanding Regulation A Exemption to Exchange Act Reporting Companies Ballard Spahr LLP
Sep
2
2017
 CFPB publishes annual CARD Act, HOEPA, QM adjustments Ballard Spahr LLP
Mar
8
2018
 Virtual Currency Is a Commodity Regulated by the CFTC, Eastern District of New York Rules Ballard Spahr LLP
Mar
9
2017
 Initial Results Validate Crowdfunding Reforms Ward and Smith, P.A.
Nov
13
2017
 FAQ: What Businesses Need to Know About Investment Crowdfunding Ward and Smith, P.A.
May
20
2022
 Alternatives to Registering a Security Offering Ward and Smith, P.A.
Mar
29
2019
 Insider Guessing Can Still Land You in Jail Ward and Smith, P.A.
Jan
24
2020
 Availability and Benefits of Shelf Offerings for Public Issuers Ward and Smith, P.A.
Oct
23
2023
 Purchases and Sales of an Incorporated Business: Asset Acquisitions and Stock Sales Ward and Smith, P.A.
Apr
6
2020
 Time to Settlement and Case Complexity: An Excerpt from Accounting Class Action Filings and Settlements—2019 Review and Analysis Cornerstone Research
Mar
20
2021
 Securities Class Action Settlements Stay on Pace Despite Pandemic Cornerstone Research
Apr
29
2021
 Accounting and Auditing Enforcement Activity—2020 Review and Analysis Cornerstone Research
Jan
19
2022
 SEC Maintains Focus on Cryptocurrency Enforcement under Chair Gensler Cornerstone Research
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