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
Oct
23
2018
 SEC Staff Withdraws Proxy Advisory Guidance Vedder Price
Oct
23
2018
 SEC Settles Charges Against Firm for Inadequate Cybersecurity and Identity Theft Prevention Programs Vedder Price
Oct
23
2018
 Ninth Circuit Affirms in Part District Court Dismissal of Class Claims in Northstar Financial v. Schwab Investments Case Vedder Price
Oct
23
2018
 SEC Chairman Clayton Issues Statement About SEC Staff Views Vedder Price
Oct
22
2018
 Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement, Assesses the Effectiveness of the SEC’s Enforcement Program Vedder Price
Oct
22
2018
 Testimony of Dalia Blass Before the House Subcommittee on Capital Markets, Securities and Investment Vedder Price
Oct
22
2018
 SEC Staff No-Action Letter Allows Fund Boards to Rely on CCO Representations for Affiliated Transactions Vedder Price
Oct
22
2018
 SEC Special Report: Rampant Business Email Compromises Require Reassessment of Internal Accounting Controls Ballard Spahr LLP
Oct
22
2018
 Cyber-Fraud Victim or Securities Law Violator? Faegre Drinker
Oct
22
2018
 SEC Issues $1 Million Identity Theft Rule Fine Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2018
 Bridging the Week by Gary DeWaal: October 15 - 19 and October 22, 2018 (Bitcoin Fraud; Smart Contracts; Actual Delivery; Reg AT) Katten
Oct
22
2018
 Buyer Liability Under The California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
19
2018
 SEC Reopens Comment Period for Unfinished Security-Based Swap Rules Katten
Oct
19
2018
 Court Finds Section 12(a) Claim Fails For Failure To Plead Scienter? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
18
2018
 Report Issued On Two-For-One Executive Order, But What About The SEC? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2018
 Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets) Katten
Oct
15
2018
 SEC Adopts Amendments to Rule 15c2-12 Bracewell LLP
Oct
14
2018
 New 20% Rule Offers Greater Clarity and Flexibility for Nasdaq-listed Companies Proskauer Rose LLP
Oct
13
2018
 The Long Wait Is Not Over, but the SEC Advances its Security-Based Swap Dealer Rules and Reopens the Comment Period for Capital and Margin Requirements for Security-Based Swap Dealers Covington & Burling LLP
Oct
12
2018
 Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation Cadwalader, Wickersham & Taft LLP
Oct
12
2018
 ESMA Publishes Opinion on Position Limits on UK Natural Gas Contracts Proposed by the FCA Katten
Oct
11
2018
 SEC Charges Broker-Dealer/Adviser With Inadequate Cybersecurity Procedures Katten
Oct
10
2018
 Compliance Risks from Local Content Requirements – Considerations for Doing Business in Africa Covington & Burling LLP
Oct
10
2018
 U.S. District Court Holds that Certain Claims by Opt-Out Plaintiffs Are Barred by the Statute of Repose Mintz
Oct
9
2018
 Can a Whistleblower Disclosure About Misleading Earnings Projections Qualify for an SEC Whistleblower Award? Zuckerman Law
Oct
9
2018
 Another Court Rules Virtual Currencies are Commodities Subject to CFTC Oversight Faegre Drinker
Oct
9
2018
 Securities Group News: Disclosure Requirements for Tax-Exempt Bonds - Significant Changes Made by the SEC Under its Recently Amended Disclosure Rules Murtha Cullina
Oct
8
2018
 Put It In Prospectus: Reviewing the Congressional Lease Approval Process in Light of the Upcoming Lower Manhattan SEC Lease Covington & Burling LLP
Oct
8
2018
 Can a whistleblower disclosure to the SEC about cybersecurity qualify for a SEC whistleblower award? Zuckerman Law
Oct
5
2018
 CFTC Releases White Paper Addressing Cross-Border Swaps Regulation; CFTC and Australian Securities Regulator Sign FinTech Cooperation Agreement Katten
Oct
5
2018
 ESMA Updates Its Opinion on Ancillary Activity Calculations Katten
Oct
4
2018
 SEC Charges Broker-Dealer and Investment Adviser with Violations of the Safeguards Rule and Identity Theft Red Flags Rule Proskauer Rose LLP
Oct
3
2018
 Is Artificial Intelligence The Future Of Rulemaking? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
1
2018
 Bridging the Week by Gary DeWaal: September 24 - 28 and October 1, 2018 (Manipulation; Insider Trading; What Is a Commodity?; Bitcoin; Cyber Intrusion) Katten
Sep
29
2018
 ESMA Announces Details of Two New Data Completeness Indicators for Trading Venues Katten
Subscribe to Securities SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins