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
25
2018
 Do Mandatory Retirement Age Requirements For Directors Violate California Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
25
2018
 SEC Sanctions Broker-Dealer, Clearing Firm and Chief Compliance Officer for AML Violations Ballard Spahr LLP
May
24
2018
 OCIE Issues Risk Alert on Advisory Fees and Expense Compliance Issues Identified in Deficiency Letters Vedder Price
May
24
2018
 SEC Staff Issues Share Class Selection Disclosure Initiative FAQs Vedder Price
May
24
2018
 Did The Last Viking Sell Securities? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
23
2018
 SEC Issues Interpretive Guidance Regarding the Standard of Conduct for Investment Advisers Vedder Price
May
23
2018
 SEC Proposes New Disclosure Requirements for Financial Professionals Vedder Price
May
22
2018
 Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 2): Interesting Angles on the DOL’s Fiduciary Rule #91 Faegre Drinker
May
22
2018
 SEC Proposes New Rule That Would Require Broker-Dealers to Act in Best Interest of Retail Customers Vedder Price
May
22
2018
 SEC Proposes Amendments to Auditor Independence Rules to Address Certain Lending Relationships Vedder Price
May
22
2018
 Proskauer’s 2018 Global High-Yield Bond Study [Study Report] Proskauer Rose LLP
May
21
2018
 SEC Whistleblower Rules to Maximize an Award Zuckerman Law
May
18
2018
 SEC Flexes Funny Bone in Fictional Token Offering Proskauer Rose LLP
May
16
2018
 Commissioner Peirce Remarks on the Challenges of Cryptocurrency Regulation K&L Gates
May
15
2018
 Decoding the SEC Rulemaking Package on Standards of Conduct for Investment Professionals ArentFox Schiff LLP
May
15
2018
 The SEC's New C&DI And Cumulative Voting Allen Matkins Leck Gamble Mallory & Natsis LLP
May
15
2018
 Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 1): Interesting Angles on the DOL’s Fiduciary Rule #90 Faegre Drinker
May
11
2018
 The Hacked & the Hacker-for-Hire: Lessons from the Yahoo Data Breaches (So Far) Ballard Spahr LLP
May
11
2018
 SEC Chief Accountant Shines Spotlight on Audit Committees Faegre Drinker
May
11
2018
 ESMA DVC Update & New Investor Portal for Financial Service Providers Katten
May
11
2018
 SEC Guidance Expanding Exclusions for Non-GAAP Information Katten
May
10
2018
 Recent Developments Toward A Fiduciary Standard For Brokers Womble Bond Dickinson (US) LLP
May
10
2018
 SEC Proposes Fiduciary Rule for Broker-Dealers Katten
May
9
2018
 U.S. Futures Exchanges Disciplinary Actions Alert: April 2018 Bracewell LLP
May
8
2018
 The 5th Circuit Decision, Prohibited Transactions, and New Non-Enforcement Policies: Interesting Angles on the DOL’s Fiduciary Rule #89 Faegre Drinker
May
5
2018
 New Dispute Resolution Scheme Requirements in Australia K&L Gates
May
4
2018
 SEC Proposes Conduct Standards for Investment Advisers Katten
May
4
2018
 SEC Announces Launch Of SALI; What About The States? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
3
2018
 Unicorns: The Tale Continues Proskauer Rose LLP
May
3
2018
 Voluntary Remediation and the SEC: Six Key Elements and Three Potential Pitfalls Proskauer Rose LLP
May
3
2018
 ASX Releases Consultation Paper on its Proposed Blockchain-Based Replacement to Chess K&L Gates
May
2
2018
 Is The Codification Of A Director's Standard Of Care A "Liability Created By Law"? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
1
2018
 SEC Fines Yahoo $35 Million for Misleading Investors by Failing to Disclose CyberSecurity Breach Squire Patton Boggs (US) LLP
May
1
2018
 Does New York's Martin Act Conflict With California's Blue Sky Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
30
2018
 Regulatory Scrutiny of the ICO Market – What Fund Managers Should Know Proskauer Rose LLP
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