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
Jun
29
2021
“C.T.A.,” NOT “Chicago” Norris McLaughlin P.A.
Jun
29
2021
SEC Chairman Gensler Re-Affirms Focus on Climate Change Disclosures Mintz
Jun
29
2021
SEC Commissioner Roisman Continues Critique of New Climate Change Disclosure Requirements Mintz
Jun
28
2021
New Jersey Shareholder Oppression: Mismanagement Norris McLaughlin P.A.
Jun
25
2021
The Colorado Privacy Act: How Does it Stack Up Against the VCDPA? Greenberg Traurig, LLP
Jun
25
2021
Thinking Beyond the Law: Does the ISO 27701 Privacy Framework Use the Same Principles that Are Found Within the ISO 29011 Framework? Greenberg Traurig, LLP
Jun
24
2021
The Only Thing to Fear is Fear Itself or Digital Asset Fund and Futures Nelson Mullins
Jun
24
2021
Anonymous SEC Whistleblower Plays Key Role in Fraud Investigation, Receives $1 Million Award Kohn, Kohn & Colapinto
Jun
23
2021
SCOTUS Finds While Defendants Carry the Burden of Proof in Overcoming Basic’s Presumption of Reliance, Defendants May Address the Generic-Nature of Alleged Misstatements at the Class Certification Stage Mintz
Jun
23
2021
House Passes Bill Requiring SEC to Define Mandatory ESG Metrics Sheppard, Mullin, Richter & Hampton LLP
Jun
22
2021
Supreme Court Update: NCAA v. Alston, United States v. Arthrex, Goldman Sachs Group v. Arkansas Teacher Retirement System, California v. Texas, Fulton v. City of Philadelphia, Nestle USA, Inc. v. Doe Wiggin and Dana LLP
Jun
22
2021
The Public Weighs In On How the SEC Should Regulate ESG Disclosures Mintz
Jun
22
2021
SEC Increases Advisers Act Qualified Client Thresholds Proskauer Rose LLP
Jun
22
2021
The Hong Kong Stock Exchange's Consultation: Conclusions on the Main Board Profit Requirement K&L Gates
Jun
22
2021
SEC Gets Cyber-Serious About Disclosures Bracewell LLP
Jun
21
2021
Mandatory ESG Disclosures Open Door for Whistleblowers Who Aim to Help Public Good Kohn, Kohn & Colapinto
Jun
21
2021
Political Momentum Grows in Support of Mandatory Financial ESG Disclosures Mintz
Jun
21
2021
Weekly Bankruptcy Alert - June 20, 2021 Pierce Atwood LLP
Jun
18
2021
SEC Releases Spring 2021 Regulatory Agenda, What Made The Cut? Epstein Becker & Green, P.C.
Jun
17
2021
Securities and Exchange Commission Reopens Debate on Universal Proxy Proposal Jones Walker LLP
Jun
16
2021
Ensure Disclosure Controls and Procedures Address Cybersecurity Foley & Lardner LLP
Jun
16
2021
ESG Seminar: ESG Fundamentals and Litigation [VIDEO] Bracewell LLP
Jun
16
2021
District Court Takes Judicial Notice of SEC Order in Denying Motion to Dismiss Shareholder Claims Proskauer Rose LLP
Jun
15
2021
Texas Joins Other States with New Texas Data Breach Notification Requirement: Is This a New Trend? Jackson Lewis P.C.
Jun
14
2021
My Mother Wants to Invest in My Startup: Raising Funds With Non-Accredited Investors Varnum LLP
Jun
14
2021
Whistleblowers Help SEC Uncover Fraudulent Transfers, Receive Awards Totaling $3 Million Kohn, Kohn & Colapinto
Jun
14
2021
Why Common Shares May Not Be Common Stock Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
10
2021
SEC Commissioner Roisman Suggests Safe Harbor for ESG Disclosures Mintz
Jun
9
2021
SEC Chairman Requests Recommendations on Restricting Rule 10B5-1 Plans McDermott Will & Emery
Jun
9
2021
A Step Towards Clarity? The NYC Bar Compliance Committee Seeks to Set Forth Guidance on Bringing Enforcement Action Against Chief Compliance Officers Epstein Becker & Green, P.C.
Jun
9
2021
Biden Administration Prioritizes Increased and Broadened Anti-Corruption Enforcement Bracewell LLP
Jun
9
2021
Family Offices Receive Increased Regulatory Scrutiny Katten
Jun
9
2021
SEC Chair Gensler Testifies on “Unprecedented Surge” in SPACs Proskauer Rose LLP
Jun
8
2021
No Good Deed Goes Unpunished: Growing ESG Litigation Risks Womble Bond Dickinson (US) LLP
Jun
8
2021
Fixing FICC: Agency Proposes Rule Changes to Encourage More Repo Clearing Norris McLaughlin P.A.
Jun
8
2021
How to “Perfect” an SEC Whistleblower Tip to Qualify for an SEC Whistleblower Award Zuckerman Law
Jun
8
2021
Before the Supreme Court of the United States Wilson Elser Moskowitz Edelman & Dicker LLP
Jun
7
2021
Biden Administration ESG Activity Accelerates K&L Gates
Jun
7
2021
When the Dust Settles: A Closer Look at the SPAC Boom and Potential Litigation to Follow [WEBINAR] Mintz
Jun
4
2021
SPAC Chat Ep. 5: Tempering the SPAC Hype [PODCAST] Mintz
Jun
4
2021
Under Armour, Inc. Settles Securities and Exchange Commission Enforcement Action Targeting Undisclosed Practice of Pulling Sales Forward to Obscure Gaps in Projected Quarterly Revenues Nelson Mullins
Jun
4
2021
Unsuccessful Derivative Plaintiff Found Personally Liable For Defendant's Attorneys' Fees Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
2
2021
SEC Publishes Lists of Rules Scheduled for Review under Regulatory Flexibility Act Vedder Price
Jun
2
2021
Private Funds in the Hot Seat under Gensler's SEC Foley & Lardner LLP
Jun
2
2021
SEC Files Suit Against Five Alleged Promoters of Crypto Lending Program Nelson Mullins
Jun
2
2021
SEC Whistleblowers Receive Awards of $10 Million and $13 Million Kohn, Kohn & Colapinto
Jun
2
2021
SEC’s Division of Examinations Issues Risk Alert Cautioning Firms to Comply with Suspicious Activity Monitoring and Reporting Vedder Price
Jun
1
2021
SEC’s Division of Examinations Issues Risk Alert on ESG Investing Vedder Price
Jun
1
2021
SEC Staff Reaffirms Guidance for Conducting Shareholder Meetings during Pandemic Vedder Price
Jun
1
2021
Game On: FINRA Hints at Upcoming Gamification Sweep Sheppard, Mullin, Richter & Hampton LLP
 

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