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
Jan
15
2017
 ESMA Publishes Follow-Up Report on Peer Review of Best Execution Katten
Jan
13
2017
 2017 Examination Priorities Announced by the SEC Katten
Jan
13
2017
 2016 Year in Review: Securities Litigation and Regulation Cadwalader, Wickersham & Taft LLP
Jan
11
2017
 The Tenth Circuit Rules SEC Administrative Judges Are Unconstitutional, Setting Up Potential Supreme Court Review Cadwalader, Wickersham & Taft LLP
Jan
9
2017
 SEC Issues $5.5 Million Whistleblower Award Proskauer Rose LLP
Jan
9
2017
 Bridging the Weeks: Dec 19 - Jan 6, and Jan 9, 2017 (Jon Corzine; Infiltrating E-Mails; ATS Gone Bad; Whistleblower Infractions) Katten
Jan
9
2017
 Bandimere v. SEC: Circuit Split May Affect PHH Appeal Covington & Burling LLP
Jan
9
2017
 Is This SEC Claim False And Misleading? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
6
2017
 What's Your Status? SEC Staff Releases New Interpretations on Rule 144A QIB Status and Regulation S Matters Faegre Drinker
Jan
6
2017
 California Federal Court Holds that U.S. Securities Laws Apply to Sponsored, Unlisted ADRs Proskauer Rose LLP
Jan
6
2017
 President-Elect Trump Nominates Clayton as SEC Chair Katten
Jan
6
2017
 The Future of Active Funds Part 1: Will Blockchain Save Actively Managed Mutual Funds? K&L Gates
Jan
6
2017
 Hague Securities Convention’s Impact on Secured Transactions Choice-of-Law Rules Morgan, Lewis & Bockius LLP
Jan
6
2017
 California Corporate Law: Must A Security Be Written? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
6
2017
 Tenth Circuit Rejects SEC's Use of Administrative Law Judges Holland & Hart LLP
Jan
5
2017
 California Corporations Code: Making A List Of Securities And Checking It Twice Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
5
2017
 California Federal Court Permits Whistleblowing Lawyer To Use Privileged Information Proskauer Rose LLP
Jan
4
2017
 ESMA updates its Market Abuse Q&A - European Securities and Markets Authority Squire Patton Boggs (US) LLP
Dec
30
2016
 Regulation Crowdfunding: A Six-Month Update Mintz
Dec
30
2016
 Revised Rule 504: Another Tool in the Toolkit to Raise Capital Mintz
Dec
29
2016
 10th Circuit Holds SEC ALJs Are Holding Office Unconstitutionally Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
27
2016
 Golden Leash Rule, Say-on-Pay, Form 10-K Summaries: Proxy Season Guide to 2017 Dinsmore & Shohl LLP
Dec
22
2016
 Size of the Option Pool in an Early Stage Company Greenberg Traurig, LLP
Dec
22
2016
 SEC Ends Municipalities Continuing Disclosure Cooperation Action Dinsmore & Shohl LLP
Dec
22
2016
 Has SEC Paid Millions In Whistleblower Bounties To “Friends And Family”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
21
2016
 Trump Administration: Potential Levers of Regulatory Change Affecting Commodities Markets Cadwalader, Wickersham & Taft LLP
Dec
19
2016
 Examining Sanctions for Accountants under SEC Rule of Practice 102(e)(10 Vedder Price
Dec
19
2016
 Declinations with Disgorgement: The DOJ's Recent Approach in FCPA Enforcement Vedder Price
Dec
19
2016
 SEC Placing Renewed Emphasis on Whistleblower Protections Vedder Price
Dec
19
2016
 U.S. Supreme Court Upholds Insider Trading Conviction Based on Tips from Family Member Vedder Price
Dec
19
2016
 CFTC Re-Proposes Capital Rules for Swap Dealers Katten
Dec
19
2016
 Commodity Futures Trading Commission Finalizes Aggregation Rules, Re-Proposes Position Limits Rule Katten
Dec
19
2016
 Broken Order Router; Trading Illicitly for Mom; Manipulation: Reg SHO; Reg MAR - Bridging the Week: December 12 to 16 and December 19, 2016 [VIDEO] Katten
Dec
19
2016
 SEC Convenes Fintech Forum Greenberg Traurig, LLP
Dec
19
2016
 Highlights of SEC’s 2016 Annual Whistleblower Report Proskauer Rose LLP
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