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
Dec
11
2017
 SEC Issues $4.1 Million Award to Overseas Whistleblower Proskauer Rose LLP
Dec
11
2017
 Were The SEC’s Pay Ratio Rule Efforts Valiant? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
11
2017
 Proposed e-Privacy Regulation in Trilogue Phase Making May 2018 Enforcement Unlikely Squire Patton Boggs (US) LLP
Dec
10
2017
 France’s Financial Markets Authority Considers its Options for Regulating Initial Coin Offerings K&L Gates
Dec
8
2017
 Beltway Buzz, December 8, 2017 Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Dec
8
2017
 ESMA Publishes Transitional Transparency Calculations for Equity and Bond Instruments Katten
Dec
8
2017
 Deregulatory Changes to Dodd-Frank Are One Step Closer Morgan, Lewis & Bockius LLP
Dec
8
2017
 Another Foolish Inconsistency – This Time For Broker-Dealers Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
7
2017
 New SEC Cyber Unit Obtains Emergency Action Against ICO K&L Gates
Dec
6
2017
 SEC Approves NYSE Proposed Rule Change Requiring a Delay in Release of End-Of-Day Material News Jones Walker LLP
Dec
6
2017
 The SEC’s Cyber Specialty Unit Strikes With Its First Case Faegre Drinker
Dec
6
2017
 Open Market Escrow Bidding – Some Thoughts from Bidding Experts (Not Us – The Real Experts) Squire Patton Boggs (US) LLP
Dec
5
2017
 SEC Awards More Than $4.1 Million to Whistleblower Despite a Finding that Whistleblower Unreasonably Delayed Reporting Misconduct Faegre Drinker
Dec
5
2017
 SEC Awards Over $16 Million to Two Whistleblowers Proskauer Rose LLP
Dec
5
2017
 Of Touting, Tweets and Advertising Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
1
2017
 SEC Division of Corporation Finance Issues New C&DI on Safeguards for Electronic Delivery of Information under Rule 701 Katten
Dec
1
2017
 Bitcoin Prices Continue Volatile Surge Despite Increasing Regulatory Scrutiny Faegre Drinker
Dec
1
2017
 The SEC Changes Course on its Defense of ALJs Squire Patton Boggs (US) LLP
Nov
30
2017
 Third Class Action for Tezos ICO Proskauer Rose LLP
Nov
30
2017
 The Numbers Don’t Lie: The SEC Pursues a More Streamlined Enforcement Agenda Sheppard, Mullin, Richter & Hampton LLP
Nov
30
2017
 ASIC Changes To Licence Processing Timelines And Fee Regime K&L Gates
Nov
29
2017
 SCOTUS to decide: Who is a Protected “Whistleblower” Under Dodd-Frank? Squire Patton Boggs (US) LLP
Nov
29
2017
 CEO Pay Ratio: It’s Not Too Late to Calculate! Epstein Becker & Green, P.C.
Nov
29
2017
 Proskauer Private Investment Funds Group Releases Annual Review and Outlook Proskauer Rose LLP
Nov
28
2017
 Anti-Bribery Compliance Meets Permits, Approvals and Licences in India Foley & Lardner LLP
Nov
28
2017
 MAS Releases "A Guide to Digital Token Offerings" K&L Gates
Nov
26
2017
 CFTC Whistleblower Program Off to a Slow Start Zuckerman Law
Nov
22
2017
 Does ISS’ Voting Recommendations Reflect Analysis Or Consensus? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
21
2017
 Second Circuit Affirms Class Certification Holding that Direct Evidence of Price Impact is Not Always Necessary to Demonstrate Market Efficiency Sheppard, Mullin, Richter & Hampton LLP
Nov
21
2017
 FAIR Act Expands Safe Harbor for ETF Research Reports Published Vedder Price
Nov
20
2017
 IDC Calls on SEC Division of Investment Management Director Dalia Blass to Modernize Fund Directors’ Regulatory Responsibilities Vedder Price
Nov
20
2017
 SEC Proposes Rules to Implement FAST Act Mandate Vedder Price
Nov
20
2017
 SEC Staff Denies Request for No-Action Relief Concerning Allocation of Certain Fund of Fund Operating Expenses to Underlying Funds in the Same Fund Family Vedder Price
Nov
20
2017
 Division of Trading and Markets Staff Provides No-Action Assurance Concerning MiFID II-Compliant Research Payments and Section 28(e)’s Safe Harbor Vedder Price
Nov
20
2017
 Division of Investment Management Staff Issues No-Action Letter Permitting Aggregation of Client Orders for Securities Transactions Subject to MiFID II Vedder Price
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