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
11
2014
 Would Disclosure Improve If The SEC (Securities and Exchange Commission) Used The “Magic Word” A Bit More Often? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
16
2011
 Would Companies Drop Compensation Committees to Evade SEC Rule?- Financial reform this week Center for Public Integrity
Dec
7
2012
 Worthless Stock Deductions: Valuation, Transfer Pricing and Technical Considerations McDermott Will & Emery
Jun
25
2011
 Worth Taking Notice: Whistleblower Rules Regarding Auditing Firms McDermott Will & Emery
Dec
27
2014
 Work with an Attorney to Maintain Ownership of Business McBrayer, McGinnis, Leslie and Kirkland, PLLC
Aug
28
2022
 Work From Home No More? Mintz
Oct
18
2023
 Words Matter: Three Key Steps to Mitigate SEC Enforcement Risks Relating to Whistleblower Carveout Language Proskauer Rose LLP
Dec
5
2019
 Woodbridge Trustee Seeks Relief In California's Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
16
2015
 Wolf Pack Activism: A Quick Look at Hedge Fund Activism Analysis Group, Inc.
Sep
15
2020
 Wolf in Sheep’s Clothing: Bitclub Network Promoter Admits to Securities Fraud and Tax Offenses Polsinelli PC
Aug
29
2023
 Without Merit: A Cautionary Tale About Boilerplate Litigation Disclosures in Public Company Filings Proskauer Rose LLP
Mar
8
2019
 With the SEC, Cooperation is Key Sheppard, Mullin, Richter & Hampton LLP
Jul
31
2013
 With General Solicitations Soon To Be Permitted, It’s Time To Recall The Commissioner’s Advertising Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
18
2012
 With Form PF Compliance Dates Quickly Approaching, Advisers Managing $150 Million or More of Private Fund Assets Should Begin to Prepare Hunton Andrews Kurth
Oct
22
2020
 With ESG, Things Aren’t Always As Green As They Seem Mintz
Oct
5
2022
 With $1.1 Billion Penalty Deal, SEC Joins DOJ in Firing Warning Shot at Financial Services Industry About Outdated Employee Communications Policies Robinson & Cole LLP
Nov
12
2014
 Wisconsin Federal Court Follows 5th Circuit Asadi Decision, Dismisses Dodd-Frank Whistleblower Claim Proskauer Rose LLP
Nov
19
2015
 Wisconsin Federal Court Enjoins SEC Administrative Proceeding Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
10
2014
 Wisconsin District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions Vedder Price
Aug
16
2016
 Wisconsin District Court Follows 5th Circuit: Internal Tipsters Are Not Considered “Whistleblowers” Under Dodd-Frank Proskauer Rose LLP
Jul
18
2012
 Wisconsin Department of Financial Institutions Issues Advisory on Crowdfunding Michael Best & Friedrich LLP
Feb
8
2013
 Wisconsin Companies Cautioned About Notices for Corporate Annual Minute Reporting Michael Best & Friedrich LLP
Dec
3
2010
 Wisconsin Act 255 Tax Credit Changes in 2011 Michael Best & Friedrich LLP
May
27
2016
 Wine, Steak, and Massage Parlors Are Personal Benefits for Insider Trading Proskauer Rose LLP
Oct
6
2023
 Win the Bid – What’s Next in Moving On? Cadwalader, Wickersham & Taft LLP
Jun
18
2015
 Williamson v. Citrix Online Highlights Potential Unintended Consequences of Functional Limitations in Patent Claims Katten
Aug
4
2015
 Will You Be Gulled By This Notice? re: Nevada Shareholder Information Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
19
2020
 Will the SEC’s Proposed Whistleblower Rules Undermine the Deterrent Effect of the Dodd-Frank Act? Kohn, Kohn & Colapinto
Apr
5
2019
 Will The SEC's Framework Beget Blue Sky Blues For Digital Assets? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
27
2016
 Will The Rise Of Tweener Corporations Increase Focus On California’s Annual Report Statute? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
25
2019
 Will The Federal Shutdown Have Implications For Commercial Litigation? IMS Legal Strategies
Nov
20
2014
 Will The Courts Stop Deferring To SEC Interpretations? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
29
2021
 Will SPAC Restatements Trigger Shareholder Litigation?    Cornerstone Research
Mar
31
2022
 Will SEC Become the ‘Securities and Environment Commission?’ Barnes & Thornburg LLP
Oct
4
2012
 Will Regulatory Developments Allow You to Jumpstart the Marketing of Your Private Equity Fund? Dickinson Wright PLLC
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