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
30
2021
New York Courts Continue to Enforce Broad General Releases, Even When Claims are Unforeseeable at the Time of Contract Execution Sheppard, Mullin, Richter & Hampton LLP
Jul
30
2021
SEC Cryptocurrency Enforcement Activity [Podcast] Cornerstone Research
Jul
29
2021
ESG Investing Guidance from the U.S. Securities and Exchange Commission Barnes & Thornburg LLP
Jul
29
2021
Preparing for the Post-Quantum Migration: A Race to Save the Internet Womble Bond Dickinson (US) LLP
Jul
29
2021
1933 Act Cases: An Excerpt from Securities Class Action Filings—2021 Midyear Assessment Cornerstone Research
Jul
29
2021
To Be or Not to Be Public — that Is the Question! Jones Walker LLP
Jul
28
2021
In a Rare Rule 11 Sanctions Decision in a Securities Case, The Court Declined to Impose Sanctions Against The Plaintiffs Mintz
Jul
28
2021
FINRA Clarifies Guidance on Best Execution and Payment for Order Flow Katten
Jul
27
2021
June 2021 Update of the SEC’s Covered Actions for Potential Whistleblower Claims Proskauer Rose LLP
Jul
26
2021
Why The Term Of "Debt Securities" Matters Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
25
2021
SEC Prevails in Case Challenging its Anti-Gag Rule, a Pillar of the SEC Whistleblower Reward Program Zuckerman Law
Jul
23
2021
SEC Raises Qualified Client Net Worth And Assets Under Management Thresholds Barnes & Thornburg LLP
Jul
23
2021
What Does Rule 144 Have To Do With Dissenters Rights? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
22
2021
ESG Remains a Priority: SEC Asset Management Advisory Committee Adopts ESG Disclosure Recommendations Katten
Jul
22
2021
SEC Brings Enforcement Action Against Space SPAC for Alleged Misleading Disclosure and Due Diligence Failures Proskauer Rose LLP
Jul
22
2021
SEC’s Coinschedule Settlement Offers Mere “Clue-By-Enforcement” Into Whether Cryptocurrencies are Securities Proskauer Rose LLP
Jul
22
2021
SEC Commissioner Pierce Criticizes Proposed ESG Regulations Mintz
Jul
22
2021
When One Party's Professional Decides The Sufficiency Of That Party's Performance Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
21
2021
SEC Whistleblower Earns $3 Million Payout for Alerting Commission to Securities Fraud Kohn, Kohn & Colapinto
Jul
21
2021
As Use Of SPACs Increase $8 Million Settlement Cautions Due Diligence Barnes & Thornburg LLP
Jul
20
2021
SEC Rule 10b5-1: Trading Plans, Recent Lessons and Likely Reforms to Come Vedder Price
Jul
20
2021
SEC Appoints Climate Counsel to Policy Team Mintz
Jul
19
2021
Supreme Court Remands Securities Class Action Against Goldman Sachs Back to Second Circuit K&L Gates
Jul
16
2021
First National Cyber Director Formally Sworn In Hunton Andrews Kurth
Jul
16
2021
When is a Token More Than a Token? SEC Settlement over Anti-Touting Provision Raises Familiar Questions Proskauer Rose LLP
Jul
16
2021
SEC Whistleblower Issued Award of More Than $1 Million for Assistance in Investigation Kohn, Kohn & Colapinto
Jul
16
2021
Supreme Court to Decide Whether the Automatic Stay of Discovery In Securities Act Claims Applies In State Court Epstein Becker & Green, P.C.
Jul
15
2021
SEC Charges SPAC, Sponsor, Merger Target and Ceos for Misleading Disclosures McDermott Will & Emery
Jul
15
2021
Securities Litigation Update: Courts of Appeals Weigh in on American Pipe Tolling and the Affiliated Ute Presumption of Reliance Cadwalader, Wickersham & Taft LLP
Jul
14
2021
SEC Maintains Focus on ESG Disclosure Issues Mintz
Jul
14
2021
Changing Winds on Disclosure: What to Expect from Increased ESG Disclosure Requirements Nelson Mullins
Jul
14
2021
Biden Executive Order Strengthens and Expands U.S. Sanctions on Chinese Military Companies Miller Canfield
Jul
14
2021
SEC Brings Significant SPAC Enforcement Action Winstead
Jul
14
2021
Beneficial Owner Has No Right To Inspect Delaware Corporation's Books Under California Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
13
2021
Senator Focuses on New Challenges Nelson Mullins
Jul
12
2021
Senator Warren Sets Her Sights on New Foes – the SEC and the Cryptocurrency Industry Nelson Mullins
Jul
12
2021
Cross-Border Transactions and International Investment: Potential Impact of President Biden’s Capital Gains Tax Proposal Norris McLaughlin P.A.
Jul
12
2021
Order Management System’s SEC Settlement Leaves More Questions Than Answers on What Constitutes “Broker” Activity Vedder Price
Jul
12
2021
Massachusetts Executive Order Permitting Massachusetts Public Companies to Hold Virtual-Only Shareholder Meetings to Expire Mintz
Jul
12
2021
Nevada Supreme Court Finds Board Resolution In Merger Agreement Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
8
2021
SEC Announces Broad Annual Regulatory Agenda Jones Walker LLP
Jul
7
2021
SEC Settles Charges against Index Provider Related to Publication of Volatility-Related Index Vedder Price
Jul
7
2021
SEC Approves the First Security-Based Swap Data Repository and Sets the Compliance Date for Regulation SBSR Vedder Price
Jul
7
2021
Regulatory Agenda Highlights Potential SEC Rulemaking Topics Vedder Price
Jul
7
2021
Kaseya Ransomware Update is NO surprise! Foley & Lardner LLP
Jul
6
2021
Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings Proskauer Rose LLP
Jul
2
2021
New SEC Presumption in Favor of Granting Maximum Award to Meritorious Whistleblowers Katz Banks Kumin LLP
Jul
2
2021
Dollars and Sense: How to Integrate ESG into Compensation Programs Womble Bond Dickinson (US) LLP
Jul
1
2021
Will Mandated ESG Disclosures Lead to Increased Litigation Risk? Bracewell LLP
Jul
1
2021
Foreign Investments By Alternative Investment Funds Nishith Desai Associates
 

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