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
May
15
2015
 What to Do if You're the Deer in the SEC's Headlights Steptoe & Johnson PLLC
May
15
2015
 SEC Is Sued Again For Doing Nothing Allen Matkins Leck Gamble Mallory & Natsis LLP
May
14
2015
 Joe Price Discusses Various Debt Financing Options Available for Leveraged Sponsor Deals [VIDEO] Mintz
May
14
2015
 New Executive Compensation Disclosure Rules Proposed by SEC: Pay vs. Performance Barnes & Thornburg LLP
May
14
2015
 Another Insider-Trading Case Survives Newman Scrutiny Proskauer Rose LLP
May
14
2015
 Delaware Chancery Court Holds Director Equity Awards Issued Under a Stockholder-Approved Plan Subject to Review under the Entire Fairness Standard Hunton Andrews Kurth
May
13
2015
 Class Action Fairness Act Filings Spike in 2013 Allen Matkins Leck Gamble Mallory & Natsis LLP
May
13
2015
 Pam Greene Discusses the Reasons Behind the Shift to Performance Based Equity Compensation and Outlines the Structure of Agreements [VIDEO] Mintz
May
12
2015
 SEC Settles Charges Against Adviser and CCO for Providing Inaccurate and Incomplete Expense Allocation Methodology and Profitability Information to Fund Board in Connection with Contract Renewal Vedder Price
May
12
2015
 D.C. Circuit Says “Heads I Win, Tails You Lose” Is Maybe Not the Best Set of Rules for Criminal Forfeiture Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
May
12
2015
 Division of Investment Management Publishes FAQs on Valuation Guidance Included in the 2014 Release Adopting Money Market Fund Reforms Vedder Price
May
12
2015
 SEC’s New Guidance on the Use of Administrative Proceedings: “It’s Up to Us.” Faegre Drinker
May
12
2015
 Division of Investment Management Releases Money Market Fund Reform FAQs Vedder Price
May
12
2015
 U.S. Court of Appeals Rejects Defendants’ Request for Rehearing in Schwab Case Relating to Violation of Fundamental Investment Policies Vedder Price
May
12
2015
 Ready for Investment? What to Expect in a Typical Preferred Stock Term Sheet Varnum LLP
May
11
2015
 Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 Katten
May
11
2015
 Monetizing Investment: Equal Terms for Management and Private Equity Sponsors Andrew Bernstein of Mintz Levin [VIDEO] Mintz
May
11
2015
 SEC Proposes Pay Versus Performance Disclosure Rule Hunton Andrews Kurth
May
11
2015
 Banking Committee Prepares For Delayed Markup; SEC, CFTC To Hold Advisory Committee Meetings Squire Patton Boggs (US) LLP
May
11
2015
 It’s Time To Put A Stop To Fee-Shifting (But Not In the Way You Might Think) Allen Matkins Leck Gamble Mallory & Natsis LLP
May
10
2015
 District Court Dismisses Securities Class Action Against Electronic Arts Katten
May
9
2015
 CFTC Determines That Wholly Owned Securitization SPVs of Captive Finance Companies May Elect End-User Exception Katten
May
9
2015
 Fleshing Out Creditor Derivative Standing in Delaware Morgan, Lewis & Bockius LLP
May
9
2015
 SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies Katten
May
8
2015
 CFTC Takes Quick Action Against UAE Traders for Alleged Spoofing ArentFox Schiff LLP
May
8
2015
 FINRA Proposes Exemption From the TAF for Proprietary Trading Firms Katten
May
8
2015
 SEC Proposes Rules for Security-based Swap Activity of Non-US Persons in the United States Katten
May
8
2015
 District Court Denies Motion to Dismiss Securities Class Action Against Urban Outfitters Katten
May
8
2015
 FINRA Chairman: SEC Should Lead on Uniform Fiduciary Standard Proskauer Rose LLP
May
8
2015
 Has the SEC Become the "Whistleblower’s Advocate"? Morgan, Lewis & Bockius LLP
May
8
2015
 ESMA Releases Final Guidance on the Definition of Physically Settled Commodity Derivatives Under MiFID I Katten
May
8
2015
 Informed Compliance Period Comes to Its Imminent End for Importer Security Filing Morgan, Lewis & Bockius LLP
May
8
2015
 Fitbit Files for IPO: Cybersecurity Risk Disclosure Mintz
May
8
2015
 Interpreting The Right To Specific Performance In A Shareholder Buy-Sell Agreement Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
May
8
2015
 Megan Gates, Co-chair, Mintz Levin Securities & Capital Markets Practice Discusses Financing Challenges for Small Cap Companies Mintz
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