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
20
2023
 SEC Staff Continues to Put Pressure on Non-GAAP Adjustments That It Views As Normal Operating Expenses Barnes & Thornburg LLP
Jul
19
2023
 2023 ESG State Legislation Wrap Up K&L Gates
Jul
19
2023
 House Financial Services Committee Criticizes ESG Regulations and Activism in Corporate America Mintz
Jul
19
2023
 Amending Articles of Incorporation When the Corporation No Longer Exists - Here's How Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
18
2023
 The SEC Renews its Emphasis on Compliance with the New Marketing Rule Foley & Lardner LLP
Jul
18
2023
 Connecticut Adds Protections for Health Data and Minors to Privacy Law Jackson Lewis P.C.
Jul
18
2023
 Texas Becomes Tenth State to Enact Comprehensive Consumer Data Privacy Law Foley & Lardner LLP
Jul
18
2023
 Report: US and UK Executives Grapple with Evolving Data Privacy Laws Womble Bond Dickinson (US) LLP
Jul
18
2023
 After Ripple, SEC Faces An Uphill Battle Exerting Comprehensive Regulatory Control Of Cryptoassets As Securities Binder & Schwartz
Jul
18
2023
 Australia: Regulation For ESG Ratings Agencies Gathers Pace K&L Gates
Jul
18
2023
 The Ripple Effect: Implications of the SEC’s Partial Loss in SEC v. Ripple Labs Inc. Proskauer Rose LLP
Jul
18
2023
 California Supreme Court Opens Door To Organizational Unfair Competition Law Claims Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
17
2023
 SEC v. Ripple Labs, Inc., et al.: A Turning Point in Cryptocurrency Jurisprudence? Greenberg Traurig, LLP
Jul
17
2023
 Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy Katten
Jul
17
2023
 SCOTUS to Decide Constitutional Fate of SEC’s In-House Courts Bradley Arant Boult Cummings LLP
Jul
17
2023
 Out With the Old, in with the New – Sec Scraps Swing Pricing Proposal, Removes Redemption Gates, and Mandates Liquidity Fees for Money Market Funds K&L Gates
Jul
17
2023
 The Axon Side-Step: Defendants’ New Dance to Avoid Agency Enforcement Actions Proskauer Rose LLP
Jul
17
2023
 New EU-U.S. Data Privacy Framework and Website Now Effective for Cross-Border EU Personal Data Transfers to the United States Greenberg Traurig, LLP
Jul
17
2023
 SEC Cannabis Enforcement Continuing to Grow this Past Spring Foley & Lardner LLP
Jul
17
2023
 (UK) How Qualifying Is Your Floating Charge? Squire Patton Boggs (US) LLP
Jul
17
2023
 The Dual Licensing Regime for Virtual Asset Trading Platforms in Hong Kong: Key Highlights – Part 1 K&L Gates
Jul
15
2023
 Will a Half-Victory for Ripple Labs Create a Wave of Good News for Digital Asset Exchanges? Mintz
Jul
14
2023
 Blockchain+ Bi-Weekly July 14, 2023 Polsinelli PC
Jul
14
2023
 Court’s Ruling Splits Partly in Favor of SEC and Partly for Ripple Hunton Andrews Kurth
Jul
14
2023
 To Be or Not to Be . . . a Security: Takeaways from the Ripple Labs Ruling Mintz
Jul
14
2023
 European Commission Adopts EU-U.S. Data Privacy Framework Robinson & Cole LLP
Jul
13
2023
 SDNY Rules Ripple’s Xrp Token Is Not a Security K&L Gates
Jul
13
2023
 How to Solve Six Common Data Quality Management Issues CLIENTSFirst Consulting
Jul
13
2023
 U.S. Executive Branch Update – July 13, 2023 Squire Patton Boggs (US) LLP
Jul
13
2023
 Washington Targets Loopholes for Sanctions Evasion: How to Mitigate Risks Bradley Arant Boult Cummings LLP
Jul
13
2023
 Are All Lawsuits Against "Woke" Directors "Nonstarters"? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
12
2023
 SEC Passes New Money Market Fund Rules: Swing Pricing Is Out and Mandatory Liquidity Fees Are In K&L Gates
Jul
12
2023
 New EU-US Data Privacy Framework—Reliable Solution for Transatlantic Data Transfers or Gateway to Schrems III? K&L Gates
Jul
11
2023
 Recent Second Circuit Opinion Underscores the Importance of Engaging Experienced Counsel to File and Perfect Class Action Claims Mintz
Jul
11
2023
 Texas Two-Steps into the Childrens Privacy Dance: The Securing Children Online through Parental Empowerment Act Squire Patton Boggs (US) LLP
Jul
11
2023
 The Wash Sales Rule and How Cryptocurrencies are Categorized ASKramer Law
Jul
11
2023
 Five Ways To Target Success As A Startup Mintz
Jul
11
2023
 New Spanish FDI Regulation Recently Enacted July 2023 Region: Europe Squire Patton Boggs (US) LLP
Jul
11
2023
 Schemes of Arrangement- SEBI Consolidates Recent Amendments Nishith Desai Associates
Jul
11
2023
 SECURE 2.0 Technical Corrections Are on the Way, Eventually McDermott Will & Emery
Jul
11
2023
 Was "Principal Executive Office" A Grave Tautology? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
10
2023
 Hsu Suggests Caution in Rollout of AI and Tokenization in Banking Sheppard, Mullin, Richter & Hampton LLP
Jul
10
2023
 SEC Approves NYSE and Nasdaq Clawback Rules Hunton Andrews Kurth
Jul
8
2023
 Option Grant Practices: A Trap for the Unwary – Spring-Loading and Bullet-Dodging Proskauer Rose LLP
Jul
7
2023
 New York Pushes For New Cybersecurity Requirements For Financial Services Companies ArentFox Schiff LLP
Jul
7
2023
 Weekly Bankruptcy Alert July 6, 2023 (For the week ending July 2, 2023) Pierce Atwood LLP
Jul
7
2023
 OFAC Compliance in 2024: What You Need to Know Oberheiden P.C.
Jul
7
2023
 FCA Publishes Guidance on the UK’s Trading Venue Perimeter Katten
Jul
7
2023
 House Republicans Issue Letters to Major Asset Managers Concerning Potential Antitrust Violations Allegedly Caused by ESG Policies Mintz
Jul
7
2023
 European Commission Proposes Legal Framework for Digital Euro Katten
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