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
May
10
2019
 SEC Proposes Changes to the Financial Statement Requirements Relating to Acquisitions and Dispositions of Businesses Greenberg Traurig, LLP
Jan
17
2014
 Revised Hart-Scott-Rodino Premerger Notification Thresholds for 2014 Greenberg Traurig, LLP
Aug
1
2019
 SEC Issues ‘No Action’ Letters Allowing Sales of Utility Tokens Greenberg Traurig, LLP
Feb
28
2024
 SEC Expands Dealer Registration Requirements Greenberg Traurig, LLP
Dec
12
2014
 Only ‘Whistleblowers’ Need Apply: District Court Concludes Simply Engaging in Protected Activity is Insufficient to Invoke Dodd-Frank Protection Greenberg Traurig, LLP
Jan
25
2015
 New Background Check Obligations for Securities Broker-Dealers Are Coming Soon Greenberg Traurig, LLP
Feb
17
2022
 SEC’s BlockFi Order Signals Further Scrutiny of DeFi Greenberg Traurig, LLP
May
5
2022
 SEC Announces 2022 Examination Priorities Greenberg Traurig, LLP
Feb
14
2017
 Supreme Court Agrees to Determine Whether SEC Actions Seeking Disgorgement are Subject to Five-Year Limitations Period Set Forth in 28 U.S.C. § 2462 Greenberg Traurig, LLP
Nov
14
2011
 Derivatives — Congress Introduces Legislation to Clarify Extra-Territorial Reach of Dodd-Frank Swap Rules Greenberg Traurig, LLP
Jan
15
2012
 Third IRS Offshore Initiative Offers Taxpayers Another Chance to Come Clean as IRS Increases its International Tax Enforcement Greenberg Traurig, LLP
Aug
1
2017
 SEC and FINRA Continue to Root Out Bad Brokers Greenberg Traurig, LLP
Jan
4
2013
 Fiscal Cliffhanger: Congress Passes Federal Tax & Health Care Legislation for 2013 Greenberg Traurig, LLP
Apr
20
2013
 Investment Regulation Update - April 2013 Greenberg Traurig, LLP
May
23
2013
 IRS Issues Final Regulations on Deemed Asset Sale Elections Under Treasury Code Section 336(e) Greenberg Traurig, LLP
May
18
2023
 Are Syndicated Term Loans Securities Under Reves v. Ernst & Young? 2nd Circuit Solicits SEC Views Greenberg Traurig, LLP
Jul
11
2013
 Securities and Exchange Commission (SEC) Lifts Ban on General Solicitation in Certain Private Securities Transactions; Disqualifies 'Bad Actors' from Rule 506 Offerings Greenberg Traurig, LLP
Oct
2
2013
 Determining Whether a Potential Investor is a Resident or Non-Resident for Securities Law Purposes Greenberg Traurig, LLP
Nov
21
2013
 The Consumer Financial Protection Bureau (CFPB), Recent Developments: November 11 – November 15, 2013 Greenberg Traurig, LLP
Sep
13
2023
 What is ‘Publicly Available Information’ under the State Privacy Laws? Greenberg Traurig, LLP
Apr
30
2014
 Fee-base Foreign Finders and SEC/FINRA (Securities Exchange Commission, Financial Industry Regulation Association) Registration Requirements Greenberg Traurig, LLP
Feb
8
2024
 Lawmakers Introduce Resolution to Nullify SEC’s Crypto Accounting Bulletin Greenberg Traurig, LLP
Dec
12
2014
 ICSID Arbitration Initiated Against China as Negotiations Move Ahead on U.S.-China Bilateral Investment Treaty Greenberg Traurig, LLP
Jan
15
2015
 New FINRA Rule Addresses Payments to Unregistered Persons Greenberg Traurig, LLP
Oct
8
2020
 SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets Greenberg Traurig, LLP
Feb
23
2015
 Revised Clayton Act/Hart-Scott-Rodino Premerger Notification Thresholds for 2015 Greenberg Traurig, LLP
Mar
12
2015
 Foreign Venture Capital Investments in Sub-Saharan African Technology Startups Greenberg Traurig, LLP
Dec
15
2020
 SEC Passes New Rule 2a-5 Regarding Fair Valuation Greenberg Traurig, LLP
Apr
21
2022
 Bipartisan Proposed Legislation Released for Qualified Opportunity Zone Investments Greenberg Traurig, LLP
May
3
2022
 SEC Proposes Comprehensive Package of Climate-Related Disclosure Rules Greenberg Traurig, LLP
Jul
18
2011
 Investment Adviser Act Audits: OCIE Deputy Director Norm Champ Explains What Examiners Are Looking For When Conducting Examinations Greenberg Traurig, LLP
May
20
2022
 Fifth Circuit Decision Could Undermine Constitutionality of HHS Civil Money Penalty Laws Greenberg Traurig, LLP
Oct
31
2011
 Dodd Frank Update — Several Developments of Note: Greenberg Traurig, LLP
Feb
20
2012
 Bribery Update - Warning bells sound for investors Greenberg Traurig, LLP
Jul
5
2017
 SCOTUS to Resolve Circuit Split Over Dodd-Frank Whistleblowers Greenberg Traurig, LLP
Mar
7
2012
 DOL, Courts Interpretations of SOX Grow More Divergent Greenberg Traurig, LLP
Jun
5
2012
 The JOBS Act: Potential Pitfalls for Pooled Investment Vehicles and their General Partners, Managers and/or Regional Center Sponsors Greenberg Traurig, LLP
Oct
24
2022
 FINRA Releases Updated Guidelines and Sanctions for Securities Rule Violations Greenberg Traurig, LLP
Sep
27
2012
 SEC Proposes Rule to Eliminate Ban on General Solicitation and Advertising Greenberg Traurig, LLP
Dec
9
2012
 Recent FTC Enforcement Action Reinforces Narrow ‘Passive Investor' Exemption to HSR Reporting Requirements Greenberg Traurig, LLP
Dec
27
2022
 8 Influencers Charged in $100 Million Securities Fraud Scheme Greenberg Traurig, LLP
Jul
12
2013
 Securities and Exchange Commission (SEC) Liberalizes Restrictions on Advertisements of Most EB-5 Projects Greenberg Traurig, 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
Sep
8
2013
 International Group Structures Are Subject to An Ongoing Review for Optimizing Their Tax Position Greenberg Traurig, LLP
Oct
25
2013
 Implications of the Elimination of the Restriction on General Solicitation for Cross-Border Equity Offerings Under Rule 144A by Foreign Private Issuers Greenberg Traurig, LLP
Aug
1
2019
 SEC Clears First Two Regulated Token Offerings Greenberg Traurig, LLP
Nov
5
2019
 OFSI Finds Its Teeth While OFAC Continues to Enforce Against Non-U.S. Corporates Greenberg Traurig, LLP
Jul
15
2014
 The Consumer Financial Protection Bureau (CFPB), Recent Developments: June 16, 2014 - June 20, 2014 Greenberg Traurig, LLP
Aug
7
2014
 Loan Market Association Publishes Documentation for Developing African Markets Greenberg Traurig, LLP
Aug
28
2014
 EU Commission Publishes Merger Regulation White Paper on Minority Shareholdings Greenberg Traurig, LLP
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