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 Sort descending Organization
Apr
6
2020
Economic Considerations in “Foreign Issuer” Securities Cases Cornerstone Research
Jun
26
2018
Economic Growth, Regulatory Relief and Consumer Protection Act’s Impact on Investment Management Industry Vedder Price
Jun
9
2022
Economic Issues in Merger Analysis for Platforms Cornerstone Research
Dec
5
2023
Effect of the New NYSE and Nasdaq Clawback Listing Standards on Registered Funds and BDCs Proskauer Rose LLP
Jul
10
2015
Effective Date of Investment Adviser Pay-to-Play Rule Ban on Third-Party Solicitation Katten
Dec
6
2012
Effective Resolution of BRICS Country Transfer Pricing Disputes McDermott Will & Emery
Jan
24
2020
EFSA Comments on MiFID II Recalibration Katten
May
2
2023
Eight Key Amendments of the 2022 ICSID Arbitration Rules Bracewell LLP
Aug
28
2013
Eighth Circuit Applies Negligence Standard to Securities and Exchange Commission (SEC) Enforcement Claims for Violations of Section 14(a) and Rules 14a-9, 13b2-1 and 13b2-2 Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2016
Eighth Circuit Reverses Class Certification with Defendants' Post-Halliburton II Rebuttal of Fraud-on-the-Market Presumption Vedder Price
May
7
2016
Eighth Circuit Reverses District Court for Ignoring Price-Impact Evidence That Rebutted the Fraud-on-the-Market Presumption and Defeated Class Certification Sheppard, Mullin, Richter & Hampton LLP
Mar
21
2024
Eighth Circuit Will Decide SEC Climate Disclosure Rule Mintz
Jan
8
2021
Elad Roisman Named Acting Chairman of SEC Katten
May
8
2012
Electricity Industry May Escape Regulation Under New Swaps Rule McDermott Will & Emery
Apr
27
2020
Electronic And Digital Signatures According To The Secretary of State Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
26
2022
Electronic Signatures in Securities Transactions Stark & Stark
Aug
21
2017
Elements of a SOX Whistleblower Retaliation Claim - Chapter 2 Zuckerman Law
Feb
17
2015
Eleventh Circuit Affirms Arbitration Dismissal in Favor of Investor’s Estate in Clawback Suit Katten
Jul
31
2015
Eleventh Circuit Again Affirms Dismissal of Stock Drop Claim Against Delta Air Lines Proskauer Rose LLP
Jun
13
2016
Eleventh Circuit Applies Five-Year Statute of Limitations to SEC Disgorgement Claims Katten
May
30
2014
Eleventh Circuit Clarifies Loss Amount Calculation for Securities Fraud Sentencing Katten
Mar
4
2016
Eleventh Circuit Considers Challenge to SEC Administrative Proceedings Proskauer Rose LLP
May
27
2014
Eleventh Circuit Defines “Instrumentalities” of Foreign Government for the Purposes of the Foreign Corrupt Practices Act Faegre Drinker
Jul
9
2016
Eleventh Circuit Limits SEC Look-Back Period and Sets Up Circuit Split ArentFox Schiff LLP
Mar
11
2016
Eleventh Circuit Raises Important Questions About Challenging the Constitutionality of SEC Administrative Proceedings Greenberg Traurig, LLP
Jun
1
2016
Eleventh Circuit Rules Disgorgement No Different Than Forfeiture, Barring SEC From Seeking Ill-Gotten Gains Outside Five-Year Limitations Period Proskauer Rose LLP
Jun
6
2014
Eleventh Circuit Upholds Convictions in “Pump-and-Dump” Stock Fraud Scheme Katten
Jul
17
2012
Eleventh Circuit Upholds FTC’s Merger Ruling and Divestiture Order Mintz
Apr
26
2024
ELTIF 2.0 – ESMA Responds to the EU Commission’s Proposed Amendments to the Draft RTS Proskauer Rose LLP
Mar
15
2024
ELTIF 2.0 – European Commission Proposes Amendments to the ESMA Draft RTS Proskauer Rose LLP
Jan
8
2024
ELTIF 2.0 – What is the Latest on the Draft RTS? Proskauer Rose LLP
Sep
13
2013
Emergency Powers And Emergency Bylaws Bill Enacted for Corporations in California Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
11
2022
Emerging EU ESG Requirements: Transatlantic Implications for Multinational Companies Hunton Andrews Kurth
Aug
28
2012
EMIR Enters into Force McDermott Will & Emery
Dec
16
2015
EMIR Mandatory Clearing Will Start On 21 June 2016 Squire Patton Boggs (US) LLP
Sep
16
2022
EmpiresX Head Trader Pleads Guilty to $100M Cryptocurrency Investment Fraud Scheme ArentFox Schiff LLP
Mar
10
2013
Employee Retirement Income Security Act (ERISA) Considerations in the Sale of Individual Annuity Contracts to Plans Faegre Drinker
Jun
30
2022
Employers Beware – SEC Renews Enforcement Initiative Against Agreements (This Time a Non-Compete) That Interfere with Whistleblowers’ Unfettered Access to the SEC Epstein Becker & Green, P.C.
Sep
20
2023
Employers Beware: SEC Targets Employment Agreements Under Whistleblower Protection Rules Epstein Becker & Green, P.C.
Aug
28
2023
Employers Get a 2-Year Breather on Complying with the Secure 2.0 Change to Catch-Up Contributions Blank Rome LLP
Feb
16
2022
Employers Take Heed: Follow Illinois Biometric Privacy Rules or Risk a Losing Battle Epstein Becker & Green, P.C.
Sep
27
2023
Employment Law this Week Episode 316 - EEO-1 Submission Official Deadline, DOL and EEOC Partner, and Important Reminder from the SEC [Podcast, Video] Epstein Becker & Green, P.C.
Oct
11
2023
Employment Law this Week Episode 318 - SEC Cracks Down on Private Companies for Violating Whistleblower Protections [Podcast, Video] Epstein Becker & Green, P.C.
Mar
13
2015
Employment Related Securities and Mobile Employees in the UK – Are You Ready For April? Squire Patton Boggs (US) LLP
Jun
4
2023
En Banc Ninth Circuit Upholds Delaware-Forum Bylaw That Prevents Assertion of Federal Proxy Claim in Derivative Action Proskauer Rose LLP
Aug
7
2012
End-User Recordkeeping and Reporting Requirements under Dodd-Frank McDermott Will & Emery
Jun
29
2023
Energy & Sustainability Litigation Updates – June 2023 Mintz
Apr
26
2023
Energy & Sustainability Litigation Updates — April 2023 Mintz
Apr
1
2024
Energy & Sustainability Litigation Updates — April 2024 Mintz
Dec
13
2022
Energy & Sustainability Litigation Updates — December 2022 Mintz
 

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