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
May
11
2020
 “Contango With Me”: COVID-19 and the U.S. Crude Oil Market Cornerstone Research
Jun
29
2021
 “C.T.A.,” NOT “Chicago” Norris McLaughlin P.A.
Jan
21
2015
 “Appraisal Arbitrage” Receives Boost from Delaware Court of Chancery Mintz
Aug
20
2018
 “Airing Out the Denny Crane Room”: Recent SEC Action Emphasizes Need for Effective Disclosure Controls and Procedures for Executive Perquisites Sheppard, Mullin, Richter & Hampton LLP
Feb
25
2021
 ‘X-Rated’: SEC Sues Morningstar Norris McLaughlin P.A.
Nov
28
2022
 ‘Tis the Season… to Consider ESG Investments in Your 401(k) Plan Jackson Lewis P.C.
Aug
29
2023
 ‘Eating Crowe’: UK Accounting Firm Found Incompetent Norris McLaughlin P.A.
Feb
23
2021
 ‘Bucking the Break’: SEC Requests Comments on MMF Reforms Norris McLaughlin P.A.
Sep
15
2020
 ‘Accredited Investor’: Regulatory Design, the Revised Definition, and the Unfinished Result Norris McLaughlin P.A.
Jul
8
2015
 ¿Qué impacto tendrá el nuevo enfoque de la SEC en el capital privado de inversión inmobiliaria del sur de Florida? Bilzin Sumberg
Apr
18
2018
 You’ve Been Hacked! A Cybersecurity Disclosure Guide for In-House Legal Counsel Dinsmore & Shohl LLP
Oct
14
2014
 You’ve Acquired a New Qualified Retirement Plan? Time for a Compliance Check McDermott Will & Emery
Nov
2
2023
 Youth Online Safety in the Crosshairs with NTIA Comment Request and Joint AG Meta Complaint Keller and Heckman LLP
Jul
14
2011
 Your Opinion Matters: 5 Things Attorneys Should Know That Business Owners Don’t BizBuySell
Aug
26
2021
 Your Contract Is Voidable, What Now? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
14
2013
 Your California Condo May Be Secure, But Not A Security Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
28
2016
 Your 401(k) Plan "Brokerage Window" May Require An S-8 Registration Cadwalader, Wickersham & Taft LLP
Aug
23
2023
 You Want to Sell Your Business for What? Securing a Beautiful Sale Price at Closing Bradley Arant Boult Cummings LLP
Feb
4
2015
 You Say Collectable, I Say Collectible Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
6
2014
 You Operate in Africa, Employ Only Africans, and Deal with Only African Governments: Are You Exempt From U.S. FCPA Compliance? Maybe Not. Greenberg Traurig, LLP
Apr
14
2020
 You Might Be Surprised Who Is Authorized To Call A Meeting Of Your Board of Directors Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
27
2018
 You Might Be an Inside Trader If…You Trade on Your Unconfirmed Suspicions of a Cybersecurity Event Prior to Its Public Revelation or Disclosure Sheppard, Mullin, Richter & Hampton LLP
Jun
21
2018
 You Might Be an Inside Trader If: Insider Trading and Data Breaches Part II Sheppard, Mullin, Richter & Hampton LLP
Feb
2
2023
 You Can’t Always Get What You Want: Funding Supply Not Meeting Startup Demands Foley & Lardner LLP
Jul
23
2015
 You Can Settle Your Insider Trading Case with a Negligence-based Charge Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Apr
19
2013
 Yet Another Reaffirmation That Financial Industry Regulatory Authority (FINRA) Is For Customers Only Womble Bond Dickinson (US) LLP
Nov
1
2013
 Yellen Appointment at the Federal Reserve Seen as a Positive for Startups Greenberg Traurig, LLP
May
20
2019
 Yan v. ReWalk Robotics, Ltd.: No Substitute for Standing in the District of Massachusetts Pierce Atwood LLP
Feb
3
2017
 Yahoo! Gives Snapshot of Privacy Law for 2017 Hunton Andrews Kurth
Mar
7
2018
 Yahoo to Pay $80 Million to Settle Securities Class Action Based on Data Breaches Murtha Cullina
Apr
25
2018
 Yahoo Settles Claims by SEC Regarding 2014 Data Breach Murtha Cullina
Nov
23
2023
 YA Global Investments, LP v. Commissioner: Tax Court Rules that Fund was Engaged in U.S. Trade or Business Foley & Lardner LLP
May
29
2015
 WSJ: Whistleblowers Claim That SEC Bounty Program Lacks Transparency Proskauer Rose LLP
Jan
20
2021
 Wrap Fee Programs Under Continued Scrutiny and Use of Investment Advisory Product Committees Faegre Drinker
Dec
11
2017
 WP 29 Updates Documents on BCRs Squire Patton Boggs (US) LLP
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