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
Dec
22
2016
 Size of the Option Pool in an Early Stage Company Greenberg Traurig, LLP
Oct
7
2016
 Size of SEC Whistleblower Awards Continues to Grow Foley & Lardner LLP
Sep
20
2018
 Size Matters: SEC Helps Middle Market Companies Dinsmore & Shohl LLP
Jul
21
2022
 Sixth Circuit Upholds Dismissal of Some Investment Fee and Performance Claims But Allows Mutual Fund Share Class Claim to Proceed to Discovery Proskauer Rose LLP
Jun
13
2013
 Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Jun
7
2015
 Sixth Circuit Rules That A Reasonable Belief About Unlawful Conduct Is Enough To State A Sarbanes-Oxley Retaliation Claim Epstein Becker & Green, P.C.
Apr
15
2011
 Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
Jun
23
2012
 Sixth Circuit Requires a Net Loss to Sue in Certain ERISA Stock-Drop Cases McDermott Will & Emery
Jun
14
2010
 Sixth Circuit Reinforces Limits on Class Action Securities Litigation Dinsmore & Shohl LLP
May
31
2013
 Sixth Circuit Lowers Bar for Securities Claims and Creates Circuit Split Katten
Jan
18
2017
 Sixth Circuit Declines to Address the Definition of Dodd Frank “Whistleblower” Proskauer Rose LLP
Jul
19
2010
 Sixth Circuit Court of Appeals Affirms 12-Year Sentence for Investment Adviser Convicted of Violating Investment Advisers Act Cosgrove Law, L.L.C.
Sep
13
2013
 Sixth Circuit Affirms Dismissal of Shareholder Class Action Due to Plaintiff’s Failure to Plead Recklessness Katten
Apr
7
2014
 Sixth Circuit Affirms Dismissal of Securities Class Action for Failure to Properly Plead Scienter Katten
Dec
27
2023
 Six Ways Whistleblowers Can Protect Themselves Katz Banks Kumin LLP
Aug
25
2020
 Six Feet Away – SEC OCIE Announces Risk Considerations Pertaining to COVID-19 Polsinelli PC
Jun
12
2015
 Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities Katten
Oct
31
2014
 Six Federal Agencies Jointly Approve Final Risk Retention Rule Katten
Feb
9
2016
 Sivolella 36(b) Excessive Fee Case: First to Trial Since 2009 Vedder Price
Jan
30
2023
 Singapore: A Rising Tiger Economy for Startups and Venture Capital in Asia Foley & Lardner LLP
Apr
25
2023
 Singapore Financial Institutions to Meet Stricter Data Protection and Consumer Safeguards Squire Patton Boggs (US) LLP
Jan
24
2017
 Simultaneous Decisions from 7th Circuit: How Later-Argued Case Became Binding Precedent Foley & Lardner LLP
Feb
22
2017
 Silver Hills Doesn’t Mute Howey: Silver Hills Country Club v. Sobieski Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
6
2017
 Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration Cadwalader, Wickersham & Taft LLP
Sep
11
2023
 Significant New Private Fund Rules Adopted by SEC ArentFox Schiff LLP
Sep
29
2023
 Significant ESG Enforcement Action by the SEC Against Major Investment Advisor Mintz
Sep
6
2016
 Significant Changes to Form ADV and Performance Advertising Rules Adopted Katten
Dec
2
2021
 SIFMA, DTCC and ICI to Shorten U.S. Securities Settlement Cycle Cadwalader, Wickersham & Taft LLP
Mar
4
2015
 SIFMA Gets Its Cybersecurity-Antitrust Wish - Securities Industry and Financial Markets Association Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Nov
19
2021
 SIFMA Conducts Financial Sector Cybersecurity Exercise Cadwalader, Wickersham & Taft LLP
Aug
1
2014
 Shuffleboard, Early Bird Specials, and . . . Whistleblowing? Mintz
Jun
8
2020
 Show Me the Money … all the Money - ICO Issuer Required to Return $25 Million to Investors Polsinelli PC
Oct
15
2013
 Should There Be “Bad Actor” Risk Factor? Re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
10
2020
 Should the SEC Limit the Size of Whistleblower Rewards? Kohn, Kohn & Colapinto
Oct
27
2014
 Should The SEC Ask What Would Blackstone Do? Allen Matkins Leck Gamble Mallory & Natsis LLP
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