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
Nov
20
2017
 SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II Vedder Price
Nov
20
2017
 M&A Update: SEC Issues Guidance on Issuers’ Ability to Exclude Shareholder Proposals under Rule 14a-8 Cadwalader, Wickersham & Taft LLP
Nov
18
2017
 ESMA Highlights ICO Risks Katten
Nov
17
2017
 SEC Enforcement Division Issues Report on Priorities and Fiscal Year 2017 Results Katten
Nov
17
2017
 Ex-Executives Move to Compel Law Firm to Produce Notes from Internal Investigation Faegre Drinker
Nov
16
2017
 SEC Releases FY 2017 Enforcement Results: Maintaining Focus on Individual Accountability and Investment Advisers Proskauer Rose LLP
Nov
16
2017
 Annual Report Reveals SEC Whistleblower Program’s Bright Future: Hundreds of Millions in Whistleblower Awards Coming Soon Zuckerman Law
Nov
14
2017
 SEC Chairman Jay Clayton’s Remarks on ICOs Proskauer Rose LLP
Nov
14
2017
 Judge Rules Internal Affairs Doctrine Governs California Insider Trading Statute Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
13
2017
 Bridging the Weeks: October 30 – November 10 and November 13, 2017 (Initial Coin Offerings; Price Disclosure; Wash Sales; Audit Trails) Katten
Nov
13
2017
 FAQ: What Businesses Need to Know About Investment Crowdfunding Ward and Smith, P.A.
Nov
10
2017
 SEC Approves a Longer Period to Review Fees for the Consolidated Audit Trail Katten
Nov
10
2017
 SEC Staff Publishes New Guidance on Shareholder Proposals Katten
Nov
9
2017
 SEC Issues New Guidance on Shareholder Proposals Foley & Lardner LLP
Nov
9
2017
 More On Disclosure Under SEC Rule 701(e) Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
8
2017
 Initial Coin Offerings: Key Considerations You Absolutely, Positively Need to Know About Before Launching an ICO K&L Gates
Nov
8
2017
 The Division of Corporation Finance of the SEC Issues Further Guidance Concerning Shareholder Proposals Jones Walker LLP
Nov
8
2017
 Corp Fin’s New Rule 701 C&DI And California’s Compensation Plan Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
7
2017
 Spotlight On Initial Coin Offerings Murtha Cullina
Nov
6
2017
 SEC Approves New PCAOB Standard for Auditor's Report Jones Walker LLP
Nov
3
2017
 PCAOB Rules to Require Reporting of Critical Audit Matters and Enhanced Details in Public Company Audit Reports Cadwalader, Wickersham & Taft LLP
Nov
3
2017
 SEC Tackles MiFID II Research Issues Morgan, Lewis & Bockius LLP
Nov
3
2017
 The SEC’s Pay Ratio Disclosure Rule and Recent Guidance Dinsmore & Shohl LLP
Nov
3
2017
 SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns Faegre Drinker
Nov
3
2017
 U.S. House Bill Aims to Curtail SEC Staff’s Ability to Obtain Algorithmic Trading Source Code Proskauer Rose LLP
Nov
2
2017
 SEC Approves New Audit Reporting Standard Requiring Auditors to Disclose More Detailed Information Learned During the Audit Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2017
 SEC Issues Important Interpretive Guidance on Implications of "Unbundling" the Costs of Investment Research from the Costs of Trade Execution, Mandated by EU Requirements Katten
Nov
2
2017
 Promoters And California’s Limited Offering Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
1
2017
 Bridging the Week: October 23 – 27 and October 30, 2017 (Trade Reporting; Front-Running; More Regulatory Improvements; DLT Space Among Enforcement Priorities) Katten
Nov
1
2017
 Condominiums And The California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
31
2017
 Post No Bills: SEC Warns of California Wildfire Investment Scams Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
30
2017
 SEC Investor Advisory Committee Considers Blockchain Technology Greenberg Traurig, LLP
Oct
29
2017
 ESMA Agrees to MiFID II Position Limits Proposed by FCA Katten
Oct
28
2017
 Treasury Recommends Changes to Post-Financial Crisis Securitization Rules Morgan, Lewis & Bockius LLP
Oct
28
2017
 SEC Approves PCAOB Rule to Require Enhanced Audit Reports Katten
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