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
Feb
25
2021
 ‘X-Rated’: SEC Sues Morningstar Norris McLaughlin P.A.
Jun
28
2021
 New Jersey Shareholder Oppression: Mismanagement Norris McLaughlin P.A.
Aug
3
2021
 Insider Tips: And That IS Bull Norris McLaughlin P.A.
Apr
29
2022
 When Your Business Partner Uses Company Money to Purchase Assets for Himself, You Have a Remedy – If You Don’t Wait Too Long Norris McLaughlin P.A.
May
10
2022
 Penny Pest Control: Rollins Inc. Pays $8 Million for Managing Earnings Norris McLaughlin P.A.
Jun
13
2022
 A Fool in Idaho; SEC Sues Idahoans for Insider Trading Scheme Norris McLaughlin P.A.
Sep
6
2022
 Book Cooking Consequences: SEC Sanctions Corporate Executives and Outside Auditors for Accounting Fraud Norris McLaughlin P.A.
Sep
19
2022
 “Pillow Talk": SEC Sues Greedy New Jersey "Domestic Partner" Norris McLaughlin P.A.
Apr
15
2024
 Fair Representation: SEC Approves Revised FINRA Dispute Resolution Rules Norris McLaughlin P.A.
Apr
22
2021
 What’s in a Name? The SEC Warns Against Confusion in ESG Investments Norris McLaughlin P.A.
May
20
2021
 Too Much Bother: Broker/Dealer Affiliate of An Insurer Catering to Retirement Plans Norris McLaughlin P.A.
Jun
8
2021
 Fixing FICC: Agency Proposes Rule Changes to Encourage More Repo Clearing Norris McLaughlin P.A.
Aug
15
2022
 Impaired Brilliance: SEC and US Attorney Sue Veteran Investor for Insider Trading Norris McLaughlin P.A.
Nov
7
2022
 Not Ship Shape: SEC Sues Retired Chief Petty Officer for Fraudulent Offerings to Navy-Related Victims Norris McLaughlin P.A.
Dec
19
2022
 Cutting Corners: SEC Sues Surgical Implant Company for Disclosure AND Accounting Fraud Norris McLaughlin P.A.
Jan
30
2023
 Outside Tips: SEC Sues Trio for Trading on Equifax Breach Norris McLaughlin P.A.
Apr
22
2020
 Do Your Due Diligence: U.S. Securities and Exchange Commission Warns Main Street Investors About COVID-19-Related Fraud Norris McLaughlin P.A.
Oct
29
2020
 Keeping Securities Disclosures in the Pink: Amendments to SEC Rule 15c-11 Norris McLaughlin P.A.
Aug
31
2021
 Streaming Data: SEC Charges Netflix Trading Ring Norris McLaughlin P.A.
Jul
18
2022
 Fingers in the Till: SEC Charges Texas City Administrator with Falsified Financial Statements to Conceal Embezzlement Norris McLaughlin P.A.
Jul
25
2022
 Mony a Mickle Maks a Muckle: SEC Charges Foreign Nationals with Two Microcap Frauds Norris McLaughlin P.A.
Oct
13
2022
 Lessons from an Elder Abuse Story with a (Relatively) Happy Ending Norris McLaughlin P.A.
Jun
29
2021
 “C.T.A.,” NOT “Chicago” Norris McLaughlin P.A.
Dec
28
2021
 Uniform Independence: SEC Sanctions Accountants and Lawyers Norris McLaughlin P.A.
Nov
14
2022
 Fake News, American Style: SEC Sues Company and Executives for Phony “News” Norris McLaughlin P.A.
Dec
27
2022
 Delusional Improvement: SEC Proposes Governance Rules for Clearing Agencies Norris McLaughlin P.A.
Jan
9
2023
 Investment Esoterica: A Stockless Triptych Norris McLaughlin P.A.
Feb
6
2023
 Even-handed Thievery: SEC Sanctions Unregistered Investment Adviser for Fraudulent: I) Investment Advice, AND II) Filings for PPP Loans Norris McLaughlin P.A.
Feb
13
2023
 Defrauding D Orders: SEC Cracks Down on Manipulative Day Trader Norris McLaughlin P.A.
Oct
2
2023
 Compromised CAT: The SEC Seeks a “Big Brother” of “Real Time” Market Information Norris McLaughlin P.A.
Oct
9
2023
 Crypto Fraud Corrections: When the “Blue Wall” is Pierced Norris McLaughlin P.A.
Oct
1
2020
 Taxing Disclosures: Municipal Securities Issuers and COVID-19 Norris McLaughlin P.A.
Mar
30
2021
 Under the Cover of Darkness: Insider Trading and the Dark Web Norris McLaughlin P.A.
Aug
29
2022
 Armored to the Brink: SEC Finds Security Company’s Confidentiality Agreement Illegal Norris McLaughlin P.A.
Jan
23
2023
 Hack Attack: SEC Charges 18 Individuals and Entities with Microcap “Pump and Dump” Norris McLaughlin P.A.
Apr
3
2023
 When the “Back Door” is Closed: Muni Bond Underwriter Sanctioned Norris McLaughlin P.A.
Sep
2
2020
 Direct Listing on the New York Stock Exchange: “Undertaking” Underwriting Norris McLaughlin P.A.
Sep
9
2021
 Tweeting in the Night: Judgment Entered Against ARCS Stock Tout Norris McLaughlin P.A.
Oct
24
2022
 Equitable Teaching: SEC Fails Variable Annuity Retirement Plans for Educators Norris McLaughlin P.A.
Mar
13
2023
 Fiddling With FICC: Proposed Rule Changes re Capital Requirements Norris McLaughlin P.A.
Nov
6
2023
 Data (D)Riven: SEC Sanctions Market Players for Trade Info Failures Norris McLaughlin P.A.
Nov
28
2023
 Accountable Independence: SEC Sues Indemnified Audit Firm Norris McLaughlin P.A.
Dec
15
2020
 When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance Norris McLaughlin P.A.
Mar
2
2021
 Being Held Accountable: The ‘Education’ of KPMG at the College of New Rochelle Norris McLaughlin P.A.
Aug
12
2021
 Collateral Damage: SEC Sanctions “Varsity Blues” Parent Norris McLaughlin P.A.
Jun
2
2022
 SEC Brings Enforcement to Tragedy: Asserts Failed ESG Disclosure in Dam Collapse Norris McLaughlin P.A.
Jan
17
2023
 “Picking the Winner”: SEC Sanctions Investment Adviser and an Associate for “Rigging” the Game Norris McLaughlin P.A.
Feb
27
2023
 Calling Sam Spade: SEC Charges Two N.C. Executives Who Used a Malta-based Entity to Steal Over $75 Million Norris McLaughlin P.A.
Mar
27
2023
 “Oh, Baloney!” SEC Sues Father, Son, and Friend for Manipulating the Stock of a New Jersey Deli Norris McLaughlin P.A.
Sep
14
2023
 What is the New Beneficial Ownership Information (BOI) Reporting and How Does it Affect Your Business? Norris McLaughlin P.A.
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