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
Apr
30
2018
 SEC Requests Comments On Bitcoin-Related ETF Rules Faegre Drinker
Apr
30
2018
 Pay Ratios And Sustainability Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
30
2018
 ASIC: Australian Laws Still Apply to ICOs Created and Offered Overseas K&L Gates
Apr
27
2018
 Cboe Contributes to Ongoing Discussion Regarding Cryptocurrency ETPs Covington & Burling LLP
Apr
27
2018
 The Government Suffers a Spoofing Setback Faegre Drinker
Apr
27
2018
 SEC Publishes Three Releases: Choose One: Best Interest or Full Service Cadwalader, Wickersham & Taft LLP
Apr
27
2018
 SEC Cyber Unit Brings Groundbreaking Data Breach Case Faegre Drinker
Apr
26
2018
 Ninth Circuit Splits From Other Circuits, Holding That a Negligence Standard Applies to a Claim Challenging Tender Offer Disclosures Under Section 14(e) Sheppard, Mullin, Richter & Hampton LLP
Apr
26
2018
 Federal Court Rules That Providing Testimony to FINRA Is Not Protected Activity Under Dodd-Frank Proskauer Rose LLP
Apr
26
2018
 SEC Settles with Private Equity Fund Adviser over Alleged Conflicts of Interest Proskauer Rose LLP
Apr
25
2018
 Yahoo Settles Claims by SEC Regarding 2014 Data Breach Murtha Cullina
Apr
25
2018
 Lucia Oral Argument Highlights Philisophical Tensions Barnes & Thornburg LLP
Apr
25
2018
 SEC Proposes Regulations to Reform Retail Investment Standards Faegre Drinker
Apr
23
2018
 Bridging the Week: April 16 to 20 and April 23, 2018 (Actual Delivery, Manipulative or Deceptive Devices; NY AG Sweep; ATS Breakdown) [VIDEO] Katten
Apr
23
2018
 The Memberless LLC And Diversity Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
20
2018
 SEC Proposes Best Interest Standard for Broker-Dealers Katten
Apr
19
2018
 SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues Proskauer Rose LLP
Apr
19
2018
 Department Of Business Oversight Found Liable For Investors' Attorney Fees Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
18
2018
 You’ve Been Hacked! A Cybersecurity Disclosure Guide for In-House Legal Counsel Dinsmore & Shohl LLP
Apr
17
2018
 Industrial Development Bonds And The Mystery Of Federal Preemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
17
2018
 Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action Sheppard, Mullin, Richter & Hampton LLP
Apr
16
2018
 Selling Securities? Owners and Managers can be Personally Liable. PPM Reduces Risk Davis|Kuelthau, s.c.
Apr
16
2018
 Industrial Loan Company Securities - They May Or May Not Be What You Assume Them To Be Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
15
2018
 Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits Katten
Apr
14
2018
 IOSCO Produces CCP Stress Test Framework Katten
Apr
13
2018
 FINRA Proposed a Rule Change With Respect to the Establishment of a Second Trade Reporting Facility Katten
Apr
13
2018
 SEC Confirms Record Retention Requirements With Third-Party Recordkeeping Services Katten
Apr
12
2018
 Investment Services Regulatory Update - April 2018 Vedder Price
Apr
11
2018
 New Record for Dodd-Frank Whistleblowers – Employment Law This Week [VIDEO] Epstein Becker & Green, P.C.
Apr
10
2018
 SEC Freezes $27 Million Related to a Blockchain/Cryptocurrency Acquisition Faegre Drinker
Apr
10
2018
 SEC Issues Cybersecurity Guidance, BlackRock and Gender Diversity, and News from the SEC and NYSE: Capital Markets & Public Companies Quarterly McDermott Will & Emery
Apr
10
2018
 Cede Freeze Fails To Kindle Personal Jurisdiction In Nevada Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
9
2018
 Bridging the Week: March 26 to 30 and April 2, 2018 (AML; Red Flags; Pump and Dump; Bitcoin ETFs) [VIDEO] Katten
Apr
6
2018
 Could the Supreme Court's Lucia Argument Become A Cage Match? Barnes & Thornburg LLP
Apr
6
2018
 ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2018 Katten
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