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
Nov
2
2021
 Securities Litigation Update: Divided Ninth Circuit Permits Direct-Listing Investors to Assert Securities Act Claims, Despite Inability to Differentiate Between Registered and Unregistered Shares Cadwalader, Wickersham & Taft LLP
Jul
15
2021
 Securities Litigation Update: Courts of Appeals Weigh in on American Pipe Tolling and the Affiliated Ute Presumption of Reliance Cadwalader, Wickersham & Taft LLP
Apr
14
2022
 Securities Litigation Update: Courts of Appeal Address the Exchange Act’s Exclusive-Jurisdiction and Non-Waiver Provisions, the Duty to Disclose, and Scienter Cadwalader, Wickersham & Taft LLP
Feb
23
2016
 Securities Litigation Uniform Standards Act Section 11 Class Actions And Magna Carta Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
12
2021
 Securities Litigation and Enforcement: What You Need to Know Oberheiden P.C.
Oct
30
2012
 Securities Litigation and Enforcement Trends - October 2012 Vedder Price
Jan
23
2023
 Securities Litigation Alert: Second Circuit Adopts Restrictive View of Purchaser-Seller Rule, Limiting Section 10(b) Standing to Transactions in Securities of Company “About Which” Alleged Misstatements Were Made Cadwalader, Wickersham & Taft LLP
May
31
2023
 Securities Litigation Alert: Ninth Circuit Clarifies Standards Governing the Statute of Limitations for Private Claims Under Section 10(b) of the Securities Exchange Act of 1934 Cadwalader, Wickersham & Taft LLP
Oct
17
2023
 Securities Lending Reform: Daily Public Reporting of Aggregate Loan Amounts in 2026 K&L Gates
Aug
18
2023
 Securities Lawsuit Against Retailer Due to Losses Allegedly Caused By Conservative Boycott Due to Company's Embrace of Pro-LGBTQ Values Mintz
Mar
13
2020
 Securities Law: COVID-19 Risk Factor Disclosures in ASC Offerings McDermott Will & Emery
Dec
5
2014
 Securities Law, Daubert, Terror Trials: Cases Hinge On Experts IMS Legal Strategies
Dec
14
2015
 Securities Law Risk Mitigation in EB-5 Offerings Mintz
Sep
20
2017
 Securities Industry Implements T+2 Settlement Cycle Vedder Price
Oct
9
2018
 Securities Group News: Disclosure Requirements for Tax-Exempt Bonds - Significant Changes Made by the SEC Under its Recently Amended Disclosure Rules Murtha Cullina
Jan
17
2019
 Securities Group News: A Refresher (and update) On Data Privacy Requirements for Investment Advisors in the Commonwealth Murtha Cullina
Aug
20
2014
 Securities Fraud: Profits Do Not Always Equal Disgorgement Faegre Drinker
Aug
15
2014
 Securities Fraud: Cherry-Picking & Soft Dollars Sheppard, Mullin, Richter & Hampton LLP
Jan
23
2020
 Securities Fraud Whistleblowers Rewarded for Assisting SEC Investigations Kohn, Kohn & Colapinto
Jan
24
2022
 Securities Fraud Whistleblowers Rewarded $37 Million for Providing Key Evidence in SEC Investigation Zuckerman Law
Oct
29
2020
 Securities Fraud Litigation in Wake of Data Breach Robinson & Cole LLP
Mar
14
2017
 Securities Fraud Enforcement Action Prompts the Question: What Was the Company Smoking? Zuckerman Law
Aug
16
2013
 Securities Fraud Claims Against CommScope Dismissed Katten
Sep
15
2016
 Securities Fraud and Violations: Was This “Whiz Kid” An Investment Adviser? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
26
2013
 Securities Exchange Commission's (SEC) New General Solicitation Rules Are Here Michael Best & Friedrich LLP
Aug
24
2013
 Securities Exchange Commission (SEC), Commodity Futures Trading Comission (CFTC) and Financial Industry Regulatory Authority (FINRA) Issue Joint Advisory on Business Continuity and Disaster Recovery Planning Katten
May
13
2014
 Securities Exchange Commission (SEC) Staff Guidance: Companies Must File Conflict Minerals Disclosure With Modifications Faegre Drinker
Oct
4
2014
 Securities Exchange Commission (SEC) Settles Insider Trading Case, Finding Roommate Relationship Created Duty of Trust and Confidence Katten
Sep
20
2013
 Securities Exchange Commission (SEC) Proposes Rules for Pay Ratio Disclosures ArentFox Schiff LLP
Aug
26
2013
 Securities Exchange Commission (SEC) Approves Amendments to Financial Industry Regulatory Authority (FINRA) Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information Katten
Aug
20
2015
 Securities Exchange Comission Adopts Pay Ratio Disclosure Rule Hunton Andrews Kurth
Oct
7
2016
 Securities Disclaimers: RIP “Tandy Letter” Requests Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
16
2013
 Securities Class Representative Cannot Object to Bankruptcy Release on Behalf of Class Katten
Aug
1
2023
 Securities Class Action Trend Cases - 2023 Update Cornerstone Research
Sep
9
2022
 Securities Class Action Trend Cases Cornerstone Research
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