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
2023
 CPPA Mulls Draft Cybersecurity Audit Regulations Under CPRA Jackson Lewis P.C.
Jan
27
2022
 Crime Doesn’t Pay, but Whistleblowing Does: SEC Awards $40 Million to Four Whistleblowers Tycko & Zavareei LLP
Apr
10
2017
 Criminal Conviction Of De Facto Officer Does Not Preclude D&O Coverage Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
23
2014
 Criminal Insider Trading Convictions Overturned In Far-Reaching Ruling Barnes & Thornburg LLP
Oct
8
2015
 Criminal Waste Of Space Foments Securities Law Problem Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
9
2016
 Critic of High-Frequency Trading Receives SEC Whistleblower Bounty Award Proskauer Rose LLP
Jul
15
2015
 Critical Factors in Handling Italian Transfer Pricing Controversies McDermott Will & Emery
Nov
20
2014
 Critics Question SEC’s Increasing Use of Administrative Enforcement Proceedings Proskauer Rose LLP
Apr
11
2017
 Cross Border Master-Feeder Arrangements: SEC Staff Slightly Expands Utility of Offshore Feeders for Global Investment Management Firms, but Tax and Other Challenges Remain K&L Gates
Jul
12
2021
 Cross-Border Transactions and International Investment: Potential Impact of President Biden’s Capital Gains Tax Proposal Norris McLaughlin P.A.
Nov
8
2015
 Crowded Markets - The SEC Adopts New Rules Permitting Title III Crowdfunding Armstrong Teasdale
May
10
2016
 Crowdfunding Begins on May 16, 2016 Morgan, Lewis & Bockius LLP
Nov
11
2020
 Crowdfunding Expanded; SEC Announces Increase in Amounts Permitted To Be Raised by Crowdfunding Mintz
Apr
20
2015
 Crowdfunding Gets Local: What Entrepreneurs and Start-Ups Need to Know to Capitalize on Exemptions for Intrastate Crowdfunding in Arizona and Colorado Ryley Carlock & Applewhite, A Professional Corporation
Oct
31
2013
 Crowdfunding Moves Forward: The Securities and Exchange Commission (SEC) Issues Proposed Rules on Crowdfunding Sheppard, Mullin, Richter & Hampton LLP
Jan
29
2016
 Crowdfunding Portals Can Now Register with the SEC Katten
Jan
30
2017
 Crowdfunding Report—FINRA’s First Enforcement Action and Updated Data Analysis Faegre Drinker
Jun
12
2015
 Crowdfunding, Public Company Disclosure and more: Meeting of the SEC Advisory Committee on Small and Emerging Companies Katten
Mar
28
2012
 Crowdfunding: One Step Closer to Reality Mintz
Mar
19
2015
 Crowdfunding? Really? Crowdfunding Rule under the JOBS Act Lewis Roca Rothgerber LLP
Sep
14
2022
 Cryptic Guidance? Despite Regulatory Ambiguity, New SEC Enforcement Could Drive Increase in Cryptocurrency-Related Shareholder Class Actions Proskauer Rose LLP
Aug
25
2023
 Crypto Anti-Touting Lawsuits: Celebrity Settlements with SEC Following Alleged Failures to Disclose Payment for Promotion of Crypto Assets on Twitter ArentFox Schiff LLP
Sep
17
2018
 Crypto Crackdown – SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund Proskauer Rose LLP
Oct
9
2023
 Crypto Fraud Corrections: When the “Blue Wall” is Pierced Norris McLaughlin P.A.
Jul
21
2022
 Crypto Interest-Bearing Accounts, the Next Target? Sheppard, Mullin, Richter & Hampton LLP
May
3
2022
 Crypto is . . . Everywhere . . . and the SEC and other Regulators Are Sprinting to Keep Up Mintz
Feb
18
2022
 Crypto Lending: The SEC Weighs In Dinsmore & Shohl LLP
Feb
13
2023
 Crypto Platform Kraken Pays $30 Million and Ceases Staking Services to Settle SEC Charges K&L Gates
Feb
16
2024
 Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2022
 Crypto Showdown: SEC’s Lawsuit Against Ripple Labs Reaches Critical Juncture Greenberg Traurig, LLP
Mar
5
2018
 Crypto-Crime: The SEC and DOJ Go After BitFunder and Its BitFounder Sheppard, Mullin, Richter & Hampton LLP
May
3
2021
 Cryptocurrencies and Other Digital Assets: A New Regime Proskauer Rose LLP
Jul
22
2019
 Cryptocurrency Regulatory Complexities Multiply Carlton Fields
Jan
24
2020
 CTFC Seeks Whistleblowers to Uncover Spoofing Schemes and Commodities Fraud Kohn, Kohn & Colapinto
Aug
6
2012
 Curiosity Safe on Mars, Forward Contracts Safe Under Section 546(e) of the Bankruptcy Code Bracewell LLP
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