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
Feb
13
2024
Frequently Asked Questions for Private Companies Considering a Reverse Merger Mintz
Feb
13
2024
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) K&L Gates
Feb
13
2024
Blowing the Whistle on AI Investment Fraud Kohn, Kohn & Colapinto
Feb
12
2024
Fifth Circuit Court of Appeals Hears Oral Arguments in Industry Groups' Ongoing Petition to Vacate Private Fund Adviser Rules K&L Gates
Feb
12
2024
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse Norris McLaughlin P.A.
Feb
12
2024
Really Bad Counting: SEC Sanctions Royal Bank of Canada for Accounting Violations Norris McLaughlin P.A.
Feb
9
2024
SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions Robinson & Cole LLP
Feb
9
2024
Supreme Court Rules ‘Retaliatory Intent’ Not Required for Securities Whistleblower Protection Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
8
2024
Blockchain+ Bi-Weekly February 8, 2024 Polsinelli PC
Feb
8
2024
Amicus Brief Outlines Congressional Intent for Burden of Proof in SOX Whistleblower Cases Kohn, Kohn & Colapinto
Feb
8
2024
Non-Financial Corporate Reporting for U.S. Companies – Where to Start? Proskauer Rose LLP
Feb
8
2024
EnforceMintz — 2023 Brings Uptick in Cybersecurity Enforcement, Insight Into Potential Risks Mintz
Feb
8
2024
Lawmakers Introduce Resolution to Nullify SEC’s Crypto Accounting Bulletin Greenberg Traurig, LLP
Feb
7
2024
SEC Expands Definition of Dealers and Government Securities Dealers K&L Gates
Feb
5
2024
SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 K&L Gates
Feb
5
2024
2023 Retail Industry Year in Review Hunton Andrews Kurth
Feb
5
2024
Does the Securities Exchange Act of 1934 Preclude Actions in State Court Under Corporations Code Section 25401? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
2
2024
ExxonMobil Strikes Back: Energy Companies Take a More Proactive Approach to Activist ESG Shareholders Bracewell LLP
Feb
2
2024
Groundbreaking SEC Decision Approves Spot Bitcoin ETP Trading ArentFox Schiff LLP
Feb
1
2024
Federal Court Holds Terraform Crypto Assets are Securities Including Stablecoin in Combination with Related Yield Protocol Barnes & Thornburg LLP
Jan
31
2024
SEC Adopts Final Rules Regarding SPACs and De-SPAC Transactions to Impose Additional Disclosure and Reporting Requirements K&L Gates
Jan
31
2024
French Insider Episode 29: Navigating Global Capital Markets with Erik Sloane of Cboe Global Markets [PODCAST] Sheppard, Mullin, Richter & Hampton LLP
Jan
31
2024
Who Decides Which Coin is a Security? [Podcast] Foley & Lardner LLP
Jan
31
2024
5 Trends to Watch: 2024 Financial Services Litigation Greenberg Traurig, LLP
Jan
30
2024
Open Meeting Report: SEC Approves SPAC Final Rules in 3-2 Vote ArentFox Schiff LLP
Jan
29
2024
Legal Considerations for GCs and CFOs in the Fashion and Retail Industry in 2024 ArentFox Schiff LLP
Jan
29
2024
Industry Groups File First Reply to SEC in Ongoing Petition Against New Private Fund Adviser Rules K&L Gates
Jan
29
2024
India’s Securities Regulator Revisits Market Rumour Verification Regime for Listed Companies Nishith Desai Associates
Jan
29
2024
ExxonMobil Files Lawsuit to Block Shareholder Proposal Concerning Greenhouse Gas Emissions Mintz
Jan
29
2024
ACCELERATING EMMA: Time and Price in Municipal Securities Transactions Norris McLaughlin P.A.
Jan
29
2024
Is "Degrowth" About To Grow? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
27
2024
SEC Takes on Nondisclosure Agreements to Protect Whistleblower Program; Fines Firm $10 Million Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Jan
26
2024
5 Trends to Watch: 2024 Data Privacy & Cybersecurity Greenberg Traurig, LLP
Jan
26
2024
The Court of Appeal Judgment in the Adler Restructuring Plan: Pari Passu is Back! Cadwalader, Wickersham & Taft LLP
Jan
26
2024
SEC Adopts New SPAC Rules Proskauer Rose LLP
Jan
26
2024
Democratic Senators Criticize Proposed SEC Disclosure Rule for Scope 3 Greenhouse Gas Emissions Mintz
Jan
26
2024
5 Things to Consider When Looking for a Wall Street Whistleblower Lawyer Oberheiden P.C.
Jan
25
2024
Staying Afloat in an Uncertain Economic World: Hope for the Best, Prepare for the Worst Private Credit Restructuring Year in Review Proskauer Rose LLP
Jan
25
2024
Regulatory Quick Takes Cadwalader, Wickersham & Taft LLP
Jan
25
2024
International Regulators’ Recommendations and Guidance on Liquidity Mismatch Mitigation Measures Cadwalader, Wickersham & Taft LLP
Jan
25
2024
The SEC Raises the Stakes: New Cybersecurity Rules for Publicly Traded Companies Hit the Books in 2023 Polsinelli PC
Jan
25
2024
FINRA’s Findings: Member Firms Get Failing Grade in Crypto Communications K&L Gates
Jan
25
2024
Blockchain+ Bi-Weekly January 25, 2024 Polsinelli PC
Jan
25
2024
FINRA Continues Focus on Crypto Asset Securities Hunton Andrews Kurth
Jan
25
2024
SEC's Settlement with Barnbridge Dao: Implications for the Future of DeFi K&L Gates
Jan
24
2024
SEC’s Record Sanction Against JP Morgan for Impeding Whistleblowing is a Major Step Kohn, Kohn & Colapinto
Jan
23
2024
FCPA Year in Review 2023 Greenberg Traurig, LLP
Jan
23
2024
Judge Rakoff puts the Ripple Party on Ice as the Crypto Community and SEC Ponder their Next Moves Mintz
Jan
23
2024
Competing Precedent in the SDNY Suggests Continued Uncertainty for Crypto Assets in 2024 Mintz
Jan
23
2024
SEC’s New Cybersecurity Disclosure Rules Wilson Elser Moskowitz Edelman & Dicker LLP
 

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