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
Jan
29
2021
 Trends in SEC Whistleblower Program Katz Banks Kumin LLP
Nov
14
2023
 SEC Enforcement Action for Rule 21F-17(a) Violations Katz Banks Kumin LLP
Sep
25
2020
 SEC Adopts Final Rules Amending Its Whistleblower Program Katz Banks Kumin LLP
Dec
27
2023
 Six Ways Whistleblowers Can Protect Themselves Katz Banks Kumin LLP
Apr
6
2021
 SEC Demonstrates Commitment to Protecting Whistleblowers Katz Banks Kumin LLP
Feb
8
2021
 What to Expect from the SEC Under the Biden Administration Winstead
Dec
21
2021
 SEC and DOJ Bring Parallel Civil and Criminal Charges Against Five Russians for $82 Million Hack-And-Trade Scheme Winstead
May
31
2020
 Texas Supreme Court Held That The Reformation Statute For The Rule Against Perpetuities Could Apply To An Instrument Created By A Corporation Because Corporations Can Create Inter Vivos Trusts Winstead
Sep
25
2020
 Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners Winstead
Jan
6
2021
 Four Things You Need to Know About the Extended Limitations Period for SEC Disgorgement Winstead
Sep
27
2022
 SEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading Plans Winstead
Jun
28
2023
 Texas Supreme Court Holds That Law Firm Could Not Redeem A Departing Partner’s Shares For No Value Under The Parties’ Shareholder Agreement Winstead
Sep
28
2023
 Business Partner or Spouse Winstead
Feb
8
2023
 SEC Probes into Advisers' Compliance with the Custody Rule for Digital Assets Winstead
Feb
2
2021
 When PPP met OBA – An Investigation was Born Winstead
Oct
6
2021
 SEC Charges Case Featuring Alleged Wash Sales Involving Options of “Meme Stocks” Winstead
Jul
31
2023
 Ripple’s Legal Waves: Ripple Summary Judgment Ruling Could Have Wide-Ranging Impact Winstead
Apr
3
2020
 The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline Winstead
Mar
2
2021
 The Division of Examinations’ Continued Focus on Digital Asset Securities and Implications for Investment Advisers Winstead
Jul
14
2021
 SEC Brings Significant SPAC Enforcement Action Winstead
Mar
11
2020
 SEC Proposes to Update “Accredited Investor” Definition Winstead
May
14
2020
 Don’t Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud Winstead
Jun
30
2023
 SEC Adopts Pay Versus Performance Disclosure Rules Winstead
Mar
11
2021
 What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration Winstead
Aug
16
2021
 SEC Increases Financial Thresholds for Qualified Clients Winstead
Jun
21
2022
 Texas Supreme Court Holds That A Director Of A Corporation Cannot Hold An Informal Fiduciary Duty To A Stockowner Winstead
Dec
10
2020
 Nasdaq Proposal to Adopt Listing Rules Related to Board Diversity Winstead
May
4
2022
 SEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit” Winstead
Sep
14
2022
 Florida District Court Permits the SEC to Pay Disgorgement to the US Treasury Where Victims of the Fraud Could not be Identified Winstead
Feb
27
2020
 Steven Seagal is not “Above the Law” in Crypto Scalping Case Winstead
Nov
16
2020
 SEC Adopts Amendments to “Accredited Investor” Definition Winstead
Jan
14
2023
 SEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored Cyberattack Winstead
Apr
26
2024
 Complying with Rule 506(c): Investor Verification Methods Explained Winstead
Mar
20
2020
 Keeping it All in the Family Winstead
May
27
2021
 SEC Brings “Naked Short Selling” Case Winstead
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