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
Jun
26
2020
 Accounting and Auditing Enforcement Activity Declines Slightly in 2019 Cornerstone Research
Apr
29
2021
 Accounting and Auditing Enforcement Activity—2020 Review and Analysis Cornerstone Research
Feb
16
2022
 Accounting and Auditing Enforcement Activity—2021 Review and Analysis Cornerstone Research
Sep
13
2022
 Accounting Cases Involving SPACs Cornerstone Research
Apr
29
2016
 Accounting Fraud Getting Increased Attention from the SEC and Class Action Counsel Barnes & Thornburg LLP
Mar
3
2017
 Accounting Fraud SEC Whistleblower Attorneys Zuckerman Law
Apr
11
2021
 Accounting-Related Securities Class Action Filings Continue to Rise in 2020 Cornerstone Research
Jul
9
2012
 ACER and ESMA Publish Respective Consultations on REMIT and EMIR McDermott Will & Emery
Sep
25
2020
 Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners Winstead
Jun
13
2016
 Acting Associate Attorney General Remarks on Yates Memorandum and False Claims Act McDermott Will & Emery
Feb
10
2017
 Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule Katten
Feb
26
2021
 Acting SEC Chair Issues Statement on Climate-Change Disclosures Katten
Mar
19
2021
 Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures Katten
Mar
10
2017
 Acting SEC Chairman Piwowar Makes Remarks at the 2017 SEC Speaks Conference, Including With Respect to “Accredited Investor” Definition Katten
Sep
19
2011
 Ad Hoc Committees Owe Fiduciary Duties? WaMu Threatens To Turn a Molehill Into a Mountain. Bracewell LLP
May
21
2012
 Adapting To Market Conditions: Joint-Venture Considerations For The Institutional Real Estate Investor And Its Legal Counsel Sills Cummis & Gross P.C.
Dec
23
2012
 Additional Guidance Provided on FINRA's Suitability Rule Katten
Feb
6
2015
 Additional Two-Year Clearing Reprieve for European Pension Schemes Katten
Nov
23
2015
 Addressing Climate Change in SEC Filings and Other Public Disclosures: What These Disclosures Mean for Businesses Foley & Lardner LLP
Sep
2
2021
 Addressing Securities Investment Threats To Certain Chinese Companies Barnes & Thornburg LLP
Oct
14
2013
 Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer Katten
Oct
9
2023
 Advanced Air Mobility: Busy Skies Ahead K&L Gates
Mar
13
2013
 Advertising & Marketing Alert - Are Your Ad Disclosures Clear and Conspicuous? The Federal Trade Commission (FTC) Dictates Disclosures in Digital Advertising Barnes & Thornburg LLP
Aug
2
2013
 Advertising Securities As Safe – A “No, No” In California Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
1
2013
 Advertising Securities With Celebrity Endorsers Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
25
2018
 Adviser Settles SEC Administrative Proceeding Regarding Alleged Failure to Safeguard Retail Investor Assets Vedder Price
Jul
23
2018
 Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure Vedder Price
Feb
13
2014
 Advisers Face Lawsuits Over Fees Charged to Subadvised Funds Godfrey & Kahn S.C.
Mar
12
2015
 Advisory Committee’s Recommendations: Positive Sign for South Florida Companies Bilzin Sumberg
Jun
25
2013
 Affiliating with a Broker-Dealer Sheppard, Mullin, Richter & Hampton LLP
Dec
19
2014
 Affordable Care Act Considerations in Mergers and Acquisitions Faegre Drinker
Aug
18
2016
 After Adopting the “Fraud-on-the-Market” Presumption of Reliance, Australia is Poised to Become a Plaintiff-Friendly Venue Mintz
Jun
21
2012
 After Gupta’s Insider-Trading Conviction, What’s Next? Ifrah Law
Jul
18
2023
 After Ripple, SEC Faces An Uphill Battle Exerting Comprehensive Regulatory Control Of Cryptoassets As Securities Binder & Schwartz
Jul
5
2010
 After the Supreme Court's Free Enterprise Fund Decision, Could NERC's Level of Autonomy Face a Constitutional Challenge? Bracewell LLP
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