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
Sep
15
2012
 Ninth Circuit Reverses Securities Fraud Conviction Based on Admission of Prior Complaint Greenberg Traurig, LLP
Dec
27
2012
 China’s Outbound Investment Greenberg Traurig, LLP
Apr
26
2023
 The 2023 Banking Crisis: Updated Questions & Answers for Insured and Uninsured Depositors, Other Affected Parties Greenberg Traurig, LLP
May
4
2023
 Florida Senate Passes Legislation Impacting ESG Initiatives of Financial Businesses Operating in Florida Greenberg Traurig, LLP
Jul
19
2013
 American Immigration Lawyers Association (AILA) Publishes Updated Summary of April 3, 2013, Joint Securities and Exchange Commission (SEC)- U.S. Citizenship and Immigration Services (USCIS) Stakeholder Conference 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
Aug
27
2020
 SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures Greenberg Traurig, LLP
Aug
31
2020
 SEC Amends the ‘Accredited Investor’ Definition Greenberg Traurig, LLP
Oct
2
2020
 The OCC and SEC’s FinHub Issue Guidance on Fiat-Backed Stablecoin Reserves Greenberg Traurig, LLP
Apr
3
2015
 SEC Reminds the Fund Industry that Gifts May Violate the 1940 Act, Not Just the Code of Ethics Greenberg Traurig, LLP
Dec
15
2015
 SEC Charges Attorneys Across Country for Acting as Unlicensed Securities Brokers Greenberg Traurig, LLP
Jan
4
2022
 Digital Assets Sector: What to Watch for in 2022 Greenberg Traurig, LLP
Jan
12
2016
 SEC’s Office of Compliance Inspections and Examinations Releases Annual Examination Priorities Greenberg Traurig, LLP
Feb
14
2022
 Finally! UK Issues Solution for UK Personal Data Transfers Greenberg Traurig, LLP
Apr
18
2016
 Not Every Broker-Dealer is an EB-5 Broker-Dealer Greenberg Traurig, LLP
May
6
2022
 GT Newsletter | Competition Currents | May 2022 Greenberg Traurig, LLP
May
26
2016
 FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of Customer’s Assets to New Firm Greenberg Traurig, LLP
Oct
13
2016
 SEC Continues Enforcement Push as Outlined in its Announcement of FY 2016 Statistics Greenberg Traurig, LLP
Oct
31
2011
 SEC Adopts Form PF at SEC Meeting Greenberg Traurig, LLP
Aug
16
2017
 August 2017 Cybersecurity & Risk Alert from SEC Greenberg Traurig, LLP
Aug
8
2012
 Top Ten Trends in I-526 Requests for Evidence Greenberg Traurig, LLP
Dec
13
2022
 Considerations for Public Company Bylaw Amendments in View of the New SEC Universal Proxy Rules Greenberg Traurig, LLP
Dec
27
2022
 NFT Endorsed by Celebrities Prompts Class Action Greenberg Traurig, LLP
Apr
5
2013
 Social Media May Satisfy Regulation FD (Fair Disclosure) But Not Without Risk and Preparation Greenberg Traurig, LLP
Jun
2
2013
 The Power of Plus Factors: Rational Business Behavior Leads to Dismissal of Conspiracy Claim Against Broker-Dealers in Second Circuit Greenberg Traurig, LLP
Jun
12
2013
 The Pros and Cons of the EB-5 Regional Center Designation Greenberg Traurig, LLP
May
2
2019
 In a First, SEC Grants Exemptive Relief to Non-Transparent Active ETF Greenberg Traurig, LLP
Sep
7
2023
 SEC Denial of Proposed Bitcoin Exchange-Traded Product Arbitrary and Capricious: DC Circuit Greenberg Traurig, LLP
Sep
18
2023
 CFPB Updates Small Business Lending Rule FAQs Greenberg Traurig, LLP
Jan
31
2014
 Amendments to Delaware Limited Liability Company Act Confirm that Managing Members and Managers of Delaware Limited Liability Companies Owe Default Fiduciary Duties Greenberg Traurig, LLP
Aug
1
2019
 SEC/FINRA Joint Statement on Custody Greenberg Traurig, LLP
Oct
9
2023
 California Enacts First-of-Their-Kind Laws Requiring Corporate Climate Disclosures Greenberg Traurig, LLP
Jan
23
2024
 FCPA Year in Review 2023 Greenberg Traurig, LLP
Apr
1
2020
 Dangerous Waters: The Pitfalls of Margin Calls Greenberg Traurig, LLP
Apr
30
2020
 Treasury Department Issues Interim Rule Establishing Fees for Certain CFIUS Filings Greenberg Traurig, LLP
Jan
4
2015
 10 Tips for Entrepreneurs Seeking Capital Greenberg Traurig, LLP
Jun
24
2015
 SEC Charges Two Businesses for Acting as Unlicensed Broker-Dealers in EB-5 sales Greenberg Traurig, LLP
Aug
5
2015
 Who Can Source Investors For EB-5 Projects: The World of Finders, Consultants, Attorneys, and Broker Dealers Greenberg Traurig, LLP
Oct
5
2015
 FINRA Announces Proposed New Rules to Protect Senior Investors Greenberg Traurig, LLP
Mar
14
2022
 SEC Continues Rolling Out Cybersecurity Rules, this Time Targeting Public Companies Greenberg Traurig, LLP
May
3
2022
 SEC Steps Up Enforcement Activities in Crypto Markets Greenberg Traurig, LLP
Jul
28
2016
 Sanchez v. Crocs: Tenth Circuit Address Extraterritoriality Greenberg Traurig, LLP
Sep
6
2016
 Regulation D Standards and Filings for Israeli Start Ups Greenberg Traurig, LLP
Nov
18
2011
 SEC Approves Additional Listing Requirements for Reverse Merger Companies Greenberg Traurig, LLP
Feb
11
2013
 Michigan's New Social Media Privacy Law Bucks the Trend (and Starts a New Trend?) by Allowing Broker-Dealers to Comply with FINRA Rules Greenberg Traurig, LLP
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