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
Jul
1
2020
 Ring of Fire - SEC Hangs Up on Telegram Polsinelli PC
Jan
11
2023
 Ringing in the New Year – Practical Tips for Public Companies to Implement the New SEC Rule 10b5-1 Trading Plan Rules in Their Internal Policies and Procedures Cadwalader, Wickersham & Taft LLP
May
31
2018
 Ripple Faces Class Action Lawsuit Alleging Sale of Unregistered Securities Proskauer Rose LLP
Jul
31
2023
 Ripple’s Legal Waves: Ripple Summary Judgment Ruling Could Have Wide-Ranging Impact Winstead
May
30
2023
 Rise in VCM Business May Trigger CFTC Oversight on Sales of Carbon Offset Credits ArentFox Schiff LLP
Jul
29
2022
 Rise of Financial Crime in the NFT Market Elicits New Scrutiny from Regulators Proskauer Rose LLP
Mar
14
2014
 Risk Factors: Another Modest Proposal Allen Matkins Leck Gamble Mallory & Natsis LLP
May
21
2011
 Risk Management in the Post-Madoff Era of Fraud Risk and Insurance Management Society, Inc. (RIMS)
Jun
10
2023
 Risks Associated with Clearing Digital Assets Cadwalader, Wickersham & Taft LLP
Feb
21
2020
 Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI Winstead
Mar
2
2014
 Risky Business: Target Discloses Data Breach and New Risk Factors in 8-K Filing… Kind Of Mintz
Feb
25
2016
 Rob Cohen Discusses SEC’s Analysis and Detection Center Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Dec
14
2021
 Robo-adviser Risk Alert: Observations from Examinations of Advisers that Provide Electronic Investment Advice Polsinelli PC
Mar
5
2010
 Roth IRAs: The Conversion Decision Much Shelist, P.C.
Feb
8
2020
 Round and Round – Will 2020 Bring the End to Inconsistent Anti-Rebating Prohibitions? Carlton Fields
Jun
25
2018
 Rounding Numbers; Let Me Count The Ways Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
5
2009
 Roundtable: Part I – Corporate Internal Investigations: Early Stages
Jun
5
2009
 Roundtable: Part II – Corporate Internal Investigations: Later Stages
Feb
21
2024
 Roundup of SEC Whistleblower Office’s January Notices of Covered Actions Kohn, Kohn & Colapinto
Mar
3
2023
 Rule 105 Revisited: SEC Actions Remind Private Fund Managers About Participating In Offering After Selling Short Barnes & Thornburg LLP
Dec
16
2022
 Rule 10b5-1 Amendments Adopted by the SEC Nelson Mullins
May
17
2023
 Rule 10b5-1 Application and Enforcement Squire Patton Boggs (US) LLP
Aug
6
2010
 Rule 10b5-1 Can Be an Effective Part of a Year-end Strategy to Lock in Capital Gains at the 2010 Rate Vedder Price
Sep
11
2013
 Rule 144 Opinion Letters – Do They Protect Anyone? Re: Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
3
2015
 Rule 147 Changes May Cause Uptick In California Securities Qualifications Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
1
2022
 Rule 15c2-11 Update: The SEC Provides Temporary Relief for Fixed Income Rule 144A Securities Until January 4, 2025 Cadwalader, Wickersham & Taft LLP
Nov
28
2016
 Rule 504 Becomes Useful Tool for Smaller Capital Raising and M&A Transactions Sheppard, Mullin, Richter & Hampton LLP
Jul
27
2018
 Rule 701 Additional Disclosure Threshold Raised to $10M; SEC Solicits Comments to Modernize Compensatory-Related Offerings Under Rule 701 and Form S-8 Womble Bond Dickinson (US) LLP
Jul
5
2018
 Rule 701 Registration Exemption Eased for Private Issuers, But Beware Hunton Andrews Kurth
Aug
2
2013
 Rules Eliminating the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings Become Effective September 23, 2013 Sheppard, Mullin, Richter & Hampton LLP
Feb
2
2021
 Rupture Rapture: Should the GameStop? Norris McLaughlin P.A.
Feb
24
2022
 Russia Sanctions Increase in Scale and Scope Cadwalader, Wickersham & Taft LLP
Jun
23
2012
 Russian Parliament Passes Temporary Withholding Tax Exemption for Eurobonds Morgan, Lewis & Bockius LLP
Oct
23
2017
 S.D. Fla. Refuses To Dismiss SOX and Dodd-Frank Whistleblower Claims Proskauer Rose LLP
Apr
3
2015
 S.E.C. Adopts Final Rules Amending Regulation A Sheppard, Mullin, Richter & Hampton LLP
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