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
Nov
20
2023
 Stay on Target: FINRA Proposes Rules Permitting Presentation of Performance Projections and Targets K&L Gates
Nov
20
2023
 Tokenized Products of SFC-Authorized Investment Products Can Be Offered to Retail Customers in Hong Kong K&L Gates
Nov
17
2023
 Ninth Circuit Provides Guidance on SEC Rule 16b-3 Short-Swing Profit Liability Exemption Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2023
 Parallel Derivative Action Settlements Update Cornerstone Research
Nov
17
2023
 Telehealth Providers: HHS Issues HIPAA Best Practices Foley & Lardner LLP
Nov
16
2023
 China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer Sheppard, Mullin, Richter & Hampton LLP
Nov
16
2023
 Privacy Challenges for Digital Advertising, Particularly in Europe Squire Patton Boggs (US) LLP
Nov
16
2023
 Privacy Tip #380 – Tips + Tools for Protecting Online Privacy Robinson & Cole LLP
Nov
16
2023
 Blockchain+ Bi-Weekly November 16, 2023 Polsinelli PC
Nov
15
2023
 The SEC’s New Clawback Rules: Things to Know as the Deadline to Adopt Compliant Policies Approaches Nelson Mullins
Nov
15
2023
 SEC Division of Examinations Publishes 2024 Priorities: Spotlight on Investment Advisers and Broker-Dealers Katten
Nov
15
2023
 Target Strikes Back at Shareholder's (Reverse) Social Justice Suit Mintz
Nov
15
2023
 Australian Privacy Regulator Sues in Data Breach Case Hunton Andrews Kurth
Nov
14
2023
 Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution Facility Rules Katten
Nov
14
2023
 SEC Enforcement Action for Rule 21F-17(a) Violations Katz Banks Kumin LLP
Nov
13
2023
 Sam Bankman-Fried Case Provides Lessons on Fraud and D&O Insurance Womble Bond Dickinson (US) LLP
Nov
13
2023
 Handle with Care: FCPA Travel & Hospitality Expenses Womble Bond Dickinson (US) LLP
Nov
13
2023
 Artificial Intelligence, the SEC, and What the Future May Hold Foley & Lardner LLP
Nov
13
2023
 Tokenization of SFC-Authorized Investment Products: What You Need to Know K&L Gates
Nov
13
2023
 The Nebulous Meaning Of "Small Business" In New Ban On Commercial Loan Fees Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
10
2023
 Expanded Unfair Contract Terms Regime Has Commenced - Are You Compliant? K&L Gates
Nov
9
2023
 FTC Urges Companies to Protect Sensitive Health Data Greenberg Traurig, LLP
Nov
9
2023
 The BR Privacy & Security Download: November 2023 Blank Rome LLP
Nov
9
2023
 European Data Protection Supervisor and UK ICO Sign Memorandum of Understanding Hunton Andrews Kurth
Nov
9
2023
 What Executive Order on AI Means for Immigration Jackson Lewis P.C.
Nov
9
2023
 SEC Commissioner Uyeda Suggests that Climate Disclosure Rule Should Be Delayed Mintz
Nov
9
2023
 SEC Adopts Amendments to Beneficial Ownership Rules Womble Bond Dickinson (US) LLP
Nov
9
2023
 Better Late Than Never: A Voluntary Self Disclosure Case Study Womble Bond Dickinson (US) LLP
Nov
9
2023
 Recent Whistleblower Enforcement Actions Highlight SEC Focus On Employee Agreements Womble Bond Dickinson (US) LLP
Nov
8
2023
 SEC Issues $400,000 Whistleblower Award, Considers Significance of Information and Whistleblower’s Culpability Kohn, Kohn & Colapinto
Nov
8
2023
 SEC Charges Against SafeMoon Continue Trend of Increased Crypto Enforcement by the Agency Kohn, Kohn & Colapinto
Nov
8
2023
 Don’t Forget to Put SEC Cybersecurity Matters on Your Board Agenda This Fall! Blank Rome LLP
Nov
8
2023
 NYDFS Updates Its Cybersecurity Regulation to Protect Against Growing Cyber Threats Hunton Andrews Kurth
Nov
8
2023
 Recent Discover Lawsuits Provide Compliance Lessons Squire Patton Boggs (US) LLP
Nov
8
2023
 Improving Responses To Crises: Incorporating ESG Considerations Into Effective Crisis Management Barnes & Thornburg LLP
Nov
7
2023
 Chief Information Security Officers in SEC Crosshairs: The SolarWinds Case Greenberg Traurig, LLP
Nov
7
2023
 SEC Charges SolarWinds and SolarWinds’ CISO with Fraud and Internal Control Failures Hunton Andrews Kurth
Nov
7
2023
 Under the GDPR, what Information Should an Organization Put in its Record of Processing Activities if it is Processing Personal Data Using an AI (i.e., putting personal information into AI prompts)? Greenberg Traurig, LLP
Nov
7
2023
 Court Of Appeal Finds No Private Right Of Action Against Unlicensed Lender Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
7
2023
 SEC Accelerates Beneficial Ownership Filing Deadlines but Holds Off on Other Changes Katten
Nov
7
2023
 Tired of Waiting on the SEC, California Adopts Extensive Climate Disclosure Laws Foley & Lardner LLP
Nov
7
2023
 SEC Modernizes the “Names Rule” for Funds Cadwalader, Wickersham & Taft LLP
Nov
6
2023
 President Biden’s AI Executive Order: A Comprehensive Overview Varnum LLP
Nov
6
2023
 Data (D)Riven: SEC Sanctions Market Players for Trade Info Failures Norris McLaughlin P.A.
Nov
3
2023
 Second Circuit Reins in SEC Disgorgement Powers Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2023
 Whistleblowers Can Earn Millions Exposing Medicare Advantage Fraud Kohn, Kohn & Colapinto
Nov
3
2023
 Court Finds That The SEC Acted Arbitrarily and Capriciously In Adopting Share Repurchase Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
2
2023
 Blockchain+ Bi-Weekly - November 2, 2023 Polsinelli PC
Nov
2
2023
 Biden’s Executive Order on Artificial Intelligence — AI: The Washington Report Mintz
Nov
2
2023
 Youth Online Safety in the Crosshairs with NTIA Comment Request and Joint AG Meta Complaint Keller and Heckman LLP
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