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
Jan
25
2017
 United States V. Newman (Part 2): Insider Trading Cartoon Series, Vol. 15 Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Apr
3
2015
 United States Supreme Court Resolves Circuit Split Regarding Section 11 Claims Predicated Upon Allegedly Misleading Statements of Opinion Sheppard, Mullin, Richter & Hampton LLP
Mar
6
2014
 United States Supreme Court Resolves Circuit Split and Narrows Scope of SLUSA - Securities Litigation Uniform Standards Act of 1998 Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 United States Supreme Court Reiterates Materiality Standard For Securities Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Jun
20
2011
 United States Supreme Court Holds that the "Maker" of a Statement for Rule 10b-5 Purposes is the Person or Entity with Ultimate Authority Over the Statement Sheppard, Mullin, Richter & Hampton LLP
Jun
8
2023
 United States Supreme Court Holds That Section 11 Plaintiffs Must Purchase Securities Issued Under the Registration Statement They Seek to Challenge Sheppard, Mullin, Richter & Hampton LLP
Apr
1
2019
 United States Supreme Court Holds That Knowing Dissemination of False Statements Made by Others Can Constitute Primary “Scheme Liability” In Violation of Rule 10b-5(a) and (c) Sheppard, Mullin, Richter & Hampton LLP
Jun
13
2018
 United States Supreme Court Clarifies Extent of American Pipe Tolling in Class Actions Squire Patton Boggs (US) LLP
Apr
15
2016
 United Kingdom: Private Placements and the Qualifying Private Placement Exemption Morgan, Lewis & Bockius LLP
Aug
29
2014
 United Kingdom: A Reminder About Careful Drafting of Confidentiality Clauses for Shareholders Katten
Jan
19
2023
 United Arab Emirates: SCA Overhauls Regulations Governing Foreign Fund Offerings K&L Gates
Dec
7
2016
 United Airlines Settles with SEC for Side-Stepping Its Own Anti-Corruption Controls: Management Override for a Ride Over to South Carolina Cadwalader, Wickersham & Taft LLP
Apr
18
2022
 Uniswap and VC Backers Sued For Selling Unregistered Securities Sheppard, Mullin, Richter & Hampton LLP
Dec
28
2021
 Uniform Independence: SEC Sanctions Accountants and Lawyers Norris McLaughlin P.A.
Apr
10
2015
 Uniform Fiduciary Standards on the Horizon for Brokers and RIAs Barnes & Thornburg LLP
May
3
2018
 Unicorns: The Tale Continues Proskauer Rose LLP
May
4
2016
 Unicorns Under Scrutiny: SEC Previews Its “Long Arm” Of Law Proskauer Rose LLP
Jul
14
2015
 Underwriters Could Feel Impact from Proposed IRS Changes Dinsmore & Shohl LLP
May
1
2023
 Underwater Investment: SEC Sues Hawaiian Semisubmersible Company for Offering Fraud Norris McLaughlin P.A.
Oct
25
2012
 Understanding – and Managing – Financing Risk Michael Best & Friedrich LLP
Sep
14
2023
 Understanding Why More Non-Traded REITs and Real Estate Funds Are Adopting a DST Structure as Part of a Capital Raise Polsinelli PC
Aug
30
2023
 Understanding the Crypto Ripple Effect Ankura
May
17
2021
 Underperforming SPAC Still Subject to Federal Claims in Securities Class Action Proskauer Rose LLP
Nov
21
2023
 Under the GDPR, what information should an organization that uses personal information to train an AI put in its privacy notice? Greenberg Traurig, LLP
Nov
7
2023
 Under the GDPR, what Information Should an Organization Put in its Record of Processing Activities if it is Processing Personal Data Using an AI (i.e., putting personal information into AI prompts)? Greenberg Traurig, LLP
Nov
21
2023
 Under the GDPR, Is an Organization Required to Distribute its Privacy Notice to Every Individual Whose Information Is Used to Train an AI? Greenberg Traurig, LLP
Mar
30
2021
 Under the Cover of Darkness: Insider Trading and the Dark Web Norris McLaughlin P.A.
Mar
3
2020
 Under Siege from the SEC, Steven Seagal Ponies Up to Settle Charges for Promoting an Initial Coin Offering Faegre Drinker
Feb
27
2020
 Under Siege - Zen Master Steven Seagal Loses to the SEC Polsinelli PC
Jun
23
2020
 Under Massachusetts Obsolete Mortgage Statute, Mortgage Payable “On Demand” is Enforceable for 35 Years Pierce Atwood LLP
Jun
4
2021
 Under Armour, Inc. Settles Securities and Exchange Commission Enforcement Action Targeting Undisclosed Practice of Pulling Sales Forward to Obscure Gaps in Projected Quarterly Revenues Nelson Mullins
May
18
2021
 Under Armour Inc. Pulls Sales Forward, SEC and Stockholders Push Back Proskauer Rose LLP
Mar
21
2018
 Under Advisement: SEC Scrutinizes Wealth Management Industry Cadwalader, Wickersham & Taft LLP
Aug
8
2011
 Unclaimed Property Audits: No Laughing Matter Greenberg Traurig, LLP
Jun
17
2022
 Unchartered Waters: Crypto Exchange Assets in Bankruptcy Nelson Mullins
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