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.

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Feb
28
2020
 Securities Class Action Settlement Median Value Remains Historically High in 2019 Cornerstone Research
Dec
23
2019
 Securities Class Action Settlement Amounts Increase Dramatically in 2018, Propelled by Mega Settlements Cornerstone Research
Dec
16
2019
 Securities Class Action Filings Remain Near Record High in 2018 Cornerstone Research
Jan
30
2020
 Securities Class Action Filings Reach Record Levels in 2019 Cornerstone Research
Jul
15
2020
 Securities Class Action Filings Involving Technology Companies Are on the Rise Cornerstone Research
Feb
1
2022
 Securities Class Action Filing Activity Plummeted in 2021 Cornerstone Research
Feb
2
2023
 Securities Class Action Filing Activity Fell for Third Straight Year as Volume of M&A Class Actions Declined Cornerstone Research
Feb
8
2021
 Securities Class Action Filing Activity Falls in 2020 Amid Global Pandemic Decline in Section 11 & M&A cases leads to overall reduction in filing activity, but dollars at risk in litigation remains stable. Cornerstone Research
Nov
2
2014
 Securities Class Action Dismissed Where Information Was Publicly Available - Reinschmidt v. Zillow, Inc. Katten
Sep
10
2021
 Securities Claim Fails Because Option Exercise Is Not A Sale Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
27
2016
 Securities and Exchanges Commission Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Feb
7
2013
 Securities and Exchange Commission’s (SEC) Rule 10b5-1 Trading Plans Under Scrutiny Barnes & Thornburg LLP
Jul
28
2016
 Securities and Exchange Commission: “Interim Final Temporary Rules”, Say What? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
14
2013
 Securities and Exchange Commission's (SECs) Investor Advisory Committee Pushes For Oddly Named “Universal Proxy Ballots” Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
20
2013
 Securities and Exchange Commission's (SEC) New Regulation D Rules Become Effective September 23, 2013 von Briesen & Roper, s.c.
Mar
20
2014
 Securities and Exchange Commission's (SEC) Amicus Brief: Internal Whistleblower Reports Covered By Dodd-Frank Anti-Retaliation Provision Proskauer Rose LLP
Aug
26
2013
 Securities and Exchange Commission's (SEC) Alleged Failure to Notify Securities Investor Protection Corporation (SIPC) of Ponzi Scheme Does Not Create Liability Katten
May
31
2022
 Securities and Exchange Commission V. LBRY; Is Your Crypto Project Illegal? Sheppard, Mullin, Richter & Hampton LLP
Aug
30
2022
 Securities and Exchange Commission Significantly Expands Executive Compensation Disclosures K&L Gates
Jun
17
2021
 Securities and Exchange Commission Reopens Debate on Universal Proxy Proposal Jones Walker LLP
May
16
2016
 Securities and Exchange Commission Publishes Regulation Crowdfunding Compliance Guide for Small Entities Michael Best & Friedrich LLP
Jul
14
2020
 Securities and Exchange Commission Proposes Amendments to Form 13F for Institutional Investment Managers Faegre Drinker
Mar
25
2022
 Securities and Exchange Commission or Securities and Environment Commission? The SEC Proposes New Rules for Climate-Related Disclosures Foley & Lardner LLP
Oct
9
2020
 Securities and Exchange Commission Modernizes Disclosure Requirements For Financial Institutions Polsinelli PC
Feb
9
2017
 Securities and Exchange Commission Considers Changes to CEO Pay Ratio Rule Mintz
Nov
29
2022
 Securities and Exchange Commission Announces FY 2022 Enforcement Results Bradley Arant Boult Cummings LLP
Jun
26
2015
 Securities and Exchange Commission Advisory Committee Issues Recommendation Squire Patton Boggs (US) LLP
Sep
8
2011
 Securities and Exchange Commission Adopts Large Trader Reporting Rule Hunton Andrews Kurth
Jul
7
2011
 Securities and Exchange Commission Adopts Final Whistleblower Rules under the Dodd-Frank Act; Internal Reporting Encouraged but Not Required Hunton Andrews Kurth
Oct
15
2020
 Securities and Exchange Commission Adopts Final Fund of Funds Rule Faegre Drinker
Oct
10
2013
 Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations Issues Risk Alert on Advisers' Business Continuity and Disaster Recovery Planning Vedder Price
Feb
12
2013
 Securities and Exchange Commission (SEC) Weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC) Greenberg Traurig, LLP
Sep
18
2020
 Securities and Exchange Commission (SEC) Updates, September 18, 2020 Katten
Jun
20
2014
 Securities and Exchange Commission (SEC) to Hold Open Meeting on Cross-Border Security-Based Swap Definitions Katten
Feb
24
2014
 Securities and Exchange Commission (SEC) to Examine Never-Before Examined Registered Investment Advisers Katten
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