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
Jan
8
2016
 Court Holds Corporations Have No Constitutional Privacy Right, But . . . Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
8
2016
 Court Holds That Exempt Lender May Violate California Usury Statute Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2023
 Court of Appeal Applies Caremark/Marchand To Directors of a California Corporation But The Result May Surprise You Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
3
2018
 Court of Appeal Explains Parol Evidence Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
7
2023
 Court Of Appeal Finds No Private Right Of Action Against Unlicensed Lender Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
26
2015
 Court Of Appeal Holds “May” Does Not Mean “May Only” Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
19
2018
 Court Of Appeal Upholds Dismissal Of Purely Foreign Dispute Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
15
2018
 Court of Appeals Decision: Managers of Open-Market CLOs Not Subject to Dodd-Frank Risk Retention Cadwalader, Wickersham & Taft LLP
Jul
17
2015
 Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement Katten
May
23
2020
 Court of Chancery Decides Motions to Dismiss, Motion for Summary Judgment, and Motion for Judgment on The Pleadings when Plaintiff Sues Stockholders and Directors of The Company He Founded K&L Gates
Feb
3
2015
 Court Of Chancery Rejects Delaware Choice Of Law in Covenant Not to Compete Litigation Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
23
2011
 Court Orders Government to Produce Electronic Data in Usable Form; Recognizes Need for E-Discovery Rules in Criminal Cases Bracewell LLP
May
16
2017
 Court Overseeing the Valeant Securities Litigation Issues a Highly Anticipated Decision Ruling that Alleged Misstatements in Rule 144A Offerings Are Not Actionable Under Section 12(a)(2) Mintz
Jul
8
2013
 Court Rejects Securities and Exchange Commission (SEC)’s Interpretation That All Exchange Act Reports Are Public Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
15
2018
 Court Reminds SEC That Rule 144 Is A Non-Exclusive Safe Harbor Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
22
2021
 Court Rules "Thoughtful," "Disciplined," and "Dynamic" Are But Short Blasts Of Wind Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
19
2019
 Court Rules Bankruptcy Code Does Not Preempt California Buy-Out Statute Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
24
2018
 Court Rules Cryptocurrencies Can Be Regulated By The CFTC As Commodities Sheppard, Mullin, Richter & Hampton LLP
Dec
1
2023
 Court Rules Director Of California Corporation Has A Duty To Disclose When Soliciting Consents Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
11
2019
 Court Rules Lot Sales Were Sales Of Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
19
2019
 Court Rules No Scienter Required Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
8
2020
 Court Rules Rights To Timeshare Vacation Points Are Not Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
21
2019
 Court Rules Share Repurchase Is Not Subject To CGCL Limitations Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
6
2015
 Court Rules Shareholders May Be Sued In De Facto Dissolution Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
5
2012
 Court Rules Size Matters in Class Claim Against Goldman Sachs Barnes & Thornburg LLP
Dec
14
2017
 Court Rules that Law Firm’s Oral Summaries to SEC of Interview Notes and Memoranda Constitutes Waiver of Work Product Protection Faegre Drinker
Nov
18
2012
 Court Rules That Plaintiffs Failed to Establish "Scheme Liability" in Securities Case Katten
Jul
7
2015
 Court Rules Unincorporated Association Aided Director’s Breach Of Fiduciary Duty Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
27
2020
 Court Sides with SEC in Ruling to Prevent Telegram from Distributing Grams Proskauer Rose LLP
May
5
2015
 Court Sorts Out California RULLCA Transition Muddle Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
21
2023
 Court Vacates SEC’s New Share Repurchase Disclosure Rules Mintz
Apr
14
2023
 Court’s Ruling Against FTC and SEC May Signal Future Limits on Agency Autonomy: SCOTUS Today Epstein Becker & Green, P.C.
Jul
14
2023
 Court’s Ruling Splits Partly in Favor of SEC and Partly for Ripple Hunton Andrews Kurth
Mar
27
2015
 Covenants Not To Compete – By The Numbers Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
10
2018
 Coverage for Government Investigations and Warranty of No Known Claims Squire Patton Boggs (US) LLP
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