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
21
2017
 Is the Pendulum of Bond Pricing Beginning to Swing Back Toward Discount Bonds? If So, We Need to Be Prepared for the Resulting Bond Yield Calculations Squire Patton Boggs (US) LLP
Apr
20
2017
 Mutual Fund Directors Forum Issues Report on the Role of Directors in Oversight of the Risk Management Function Vedder Price
Apr
20
2017
 Capital Markets & Public Companies Quarterly- April 20, 2017: New Developments in 2017 McDermott Will & Emery
Apr
20
2017
 SEC Staff Issues Guidance Update Addressing Advisers Act Obligations of Robo-Advisers Vedder Price
Apr
20
2017
 SEC Staff Issues Guidance on “Inadvertent Custody” of Client Assets Vedder Price
Apr
20
2017
 SEC Issues Proposal Requiring Use of Inline XBRL Format for Mutual Fund Risk/Return Summaries Vedder Price
Apr
20
2017
 SEC Staff Issues No-Action Letter Permitting U.S. Master Fund— Foreign Feeder Fund Arrangements Vedder Price
Apr
20
2017
 SEC Adopts T+2 Settlement Cycle for Securities Transactions, Shortening Timing Mismatch for Mutual Funds Vedder Price
Apr
20
2017
 Dodd-Frank Act Claims, Non-SEC Whistleblowers, False Claims Act Appeal: Review of Recent Whistleblower Developments April 2017 Foley & Lardner LLP
Apr
19
2017
 SEC’s Investor Advisory Committee Airs Concerns Over Multi-Tiered Offerings Following Snap’s IPO Mintz
Apr
18
2017
 New SEC Rule 147A and Related Rule Amendments Facilitate Capital Formation Steptoe & Johnson PLLC
Apr
18
2017
 Corporate Director Liability: Corwin v. KKR Fin. Holdings Cannot Cleanse Everything Dinsmore & Shohl LLP
Apr
17
2017
 Bridging the Week: April 10 to 14 and 17, 2017 (Theft of Trade Secrets; No Spoofing; Third-Party Payments; Fake News) [VIDEO] Katten
Apr
14
2017
 Update: Briefs Filed in CalPERS v. ANZ Securities Mintz
Apr
14
2017
 SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule Katten
Apr
14
2017
 EB-5 Visa Scandal Underscores the Critical Role Whistleblowers Play in Exposing EB-5 Fraud Zuckerman Law
Apr
13
2017
 Colorado Investment Advisers and Broker-Dealers May Soon Face New Cybersecurity Requirements Holland & Hart LLP
Apr
13
2017
 SEC Scrutinizes “Fake News” Stock Promotion Schemes Zuckerman Law
Apr
13
2017
 SEC’s Flawed Changes To Exchange Act Forms Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
12
2017
 Did Joseph P. Kennedy Make Insider Trading Illegal? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
11
2017
 Dueling Classes Dispute the Breadth of Released Claims in the Halliburton Securities Litigation Mintz
Apr
11
2017
 Cross Border Master-Feeder Arrangements: SEC Staff Slightly Expands Utility of Offshore Feeders for Global Investment Management Firms, but Tax and Other Challenges Remain K&L Gates
Apr
11
2017
 Conflict Minerals Report No Longer Required? Wait — Not So Fast Squire Patton Boggs (US) LLP
Apr
11
2017
 New Developments and Uncertainties for Conflict Minerals Disclosure Beveridge & Diamond PC
Apr
11
2017
 SEC Issues Update for Advisers Relying on Unibanco No-Action Letters Katten
Apr
10
2017
 Bridging the Week: April 3-7 and 10, 2017 (Advancing Nominee; Third Party Funds’ Transfers; Record Retention) [VIDEO] Katten
Apr
10
2017
 ESMA Updates MiFID II Q&As on Market Structures, Commodity Derivatives and Transparency Katten
Apr
10
2017
 Criminal Conviction Of De Facto Officer Does Not Preclude D&O Coverage Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
7
2017
 SEC Adopts Technical Amendments to JOBS Act Rules Katten
Apr
6
2017
 We Know What You Really Meant: Utah Court Holds that SEC Can Bring Extraterritorial Enforcement Action Based on Conduct or Effects in United States Proskauer Rose LLP
Apr
6
2017
 California’s Corporations Code And Securities Rules Are Rife With Errors Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2017
 Bridging the Week: March 27 to 31 and April 3, 2017 (Regulation Through Enforcement; Produce Or Be Fined; Spoofing; Undisclosed Mark-Ups) Katten
Apr
3
2017
 Supreme Court to Decide Whether Failure to Make Required MD&A Disclosure Can Provide Basis for Damages Under Rule 10b-5 ArentFox Schiff LLP
Apr
2
2017
 SEC Issues New Sources of Custody Rule Guidance Proskauer Rose LLP
Mar
31
2017
 CFTC Will Have Enhanced Enforcement Powered by In-House Market Surveillance Covington & Burling LLP
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