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
Oct
15
2014
 Why The SEC Should Stay Out Of The Fee-Shifting Charter Debate Allen Matkins Leck Gamble Mallory & Natsis LLP
May
29
2020
 Nevada Rejects Fiduciary Exception To Attorney-Client Privilege Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
30
2014
 Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
25
2020
 To File Or Not To File Under Rule 260.103? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2014
 Commissioner Gallagher Posits SEC Would Prevail Against Harvard University Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
14
2015
 Asset Protection Planning - Part 4 - Business Entities, Trusts and Case Studies [Audio Podcast] Odin, Feldman & Pittleman, P.C.
Jul
25
2013
 How to Exclude Gain on the Sale of Qualified Small Business Stock! [AUDIO] Odin, Feldman & Pittleman, P.C.
Oct
28
2013
 Pros and Cons of Using Employee Stock Ownership Plans (ESOPs) [AUDIO] Odin, Feldman & Pittleman, P.C.
Oct
13
2014
 Realities of Phantom Stock and SAR’s (Stock Appreciation Rights) Odin, Feldman & Pittleman, P.C.
Jul
29
2022
 National Whistleblower Appreciation Day 2022 Tycko & Zavareei LLP
Sep
19
2014
 Department of Defense Contractors Agree to Pay the U.S. Government $5.5 Million for Allegedly Supplying the Military with Low-Grade Batteries for Humvee Gun Turrets Used in Iraq; Minnesota Whistleblower to Receive $990,000 Tycko & Zavareei LLP
Mar
20
2015
 Bank of New York Mellon Agrees To Pay $714 Million to Resolve Claims Regarding Foreign Exchange Fraud Tycko & Zavareei LLP
Sep
21
2022
 Colorado’s New False Claims Act: What it Means for Whistleblowers Tycko & Zavareei LLP
Dec
21
2022
 Who Can Be a Whistleblower? Tycko & Zavareei LLP
Sep
2
2021
 Cybersecurity Whistleblowers Protect the House Tycko & Zavareei LLP
Apr
3
2015
 SEC Warns Companies Not To Try To Silence Potential Whistleblowers Tycko & Zavareei LLP
May
27
2021
 Cleaning Up Crypto: How Whistleblowers Can Help Stop Cryptocurrency Scams, Money Laundering, and Tax Evasion, and Make Money Doing It Tycko & Zavareei LLP
Sep
22
2014
 Top 10 Tips For Qui Tam Whistleblowers Tycko & Zavareei LLP
May
25
2014
 Commodity Futures Trading Commission (CFTC) Issues Its First Ever Whistleblower Award For Tip On Securities Violation Tycko & Zavareei LLP
Feb
13
2014
 Does The Government Really Pay Awards To Whistleblowers? Tycko & Zavareei LLP
Nov
19
2014
 SEC Publishes Its 2014 Dodd-Frank Whistleblower Program Annual Report Tycko & Zavareei LLP
Jan
27
2022
 Crime Doesn’t Pay, but Whistleblowing Does: SEC Awards $40 Million to Four Whistleblowers Tycko & Zavareei LLP
Sep
30
2016
 Vibra Healthcare To Pay $33 Million To Settle Qui Tam Lawsuit That Alleged Healthcare Fraud in Medicare Billing Practices Tycko & Zavareei LLP
Sep
30
2021
 FIRREA Declaration Nets $72.6 Million Settlement for Foreign Transaction Prestidigitation Tycko & Zavareei LLP
Jul
18
2023
 Connecticut Adds Protections for Health Data and Minors to Privacy Law Jackson Lewis P.C.
Oct
30
2023
 Cybersecurity Awareness Month Series: Cybersecurity is Important for Small Business Too Jackson Lewis P.C.
Jul
14
2014
 Supreme Court Returns to ERISA Statutory Basics, Rejects Moench Presumption: Implications for ESOP Trusts Holding Non-Publicly Traded Securities Jackson Lewis P.C.
Aug
4
2014
 Does Dodd-Frank Act Protect Whistleblower Who Did Not Report to SEC? Jackson Lewis P.C.
Nov
19
2021
 SEC Reports Significant Increases In FY2021 Whistleblower Program Jackson Lewis P.C.
Sep
22
2016
 U.S. Securities and Exchange Commission Surpasses $100 Million in Awards Through Whistleblower Program Jackson Lewis P.C.
Mar
9
2014
 Best Practices For Gramm-Leach-Bliley Compliance Re: Data Security and Customer Privacy Jackson Lewis P.C.
Mar
20
2020
 The SEC Reacts to COVID-19 Jackson Lewis P.C.
Apr
18
2019
 SEC Issues Privacy and Data Security Risk Alert Jackson Lewis P.C.
Apr
23
2014
 For Business: World Bank’s Anti-Corruption Ethics and Compliance Resource Jackson Lewis P.C.
Mar
21
2020
 The SEC Weighs In on Reporting Related to COVID-19 Jackson Lewis P.C.
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