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
19
2016
 SEC Takes Action Because Issuer Did Not Effect Public Offering Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
16
2016
 SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings Katten
Dec
16
2016
 SEC Chair Will Continue to Push Agenda, Despite GOP Requests Covington & Burling LLP
Dec
16
2016
 SEC Issues Two Large Whistleblower Awards Proskauer Rose LLP
Dec
15
2016
 SEC Overturns Administrative Law Judge’s Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement Vedder Price
Dec
15
2016
 PIMCO Settles Charges of Misleading Investors Regarding ETF Performance Vedder Price
Dec
14
2016
 There’s Still Time For Congress To Void SEC’s Resource Extraction Rule Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
13
2016
 CFIUS Clearance: Beijing E-Town Chipone Technology Co. and Integrated Memory Logic Limited Squire Patton Boggs (US) LLP
Dec
13
2016
 CFIUS Upcoming/New Filing: Zhongwang USA LLC/Liu Zhongtian and Aleris Corporation Squire Patton Boggs (US) LLP
Dec
13
2016
 SEC Issues Proposed Rules Requiring Use of Universal Proxy Giordano, Halleran & Ciesla, P.C.
Dec
13
2016
 California Commissioner Finds Funding Is Not A Sine Qua Non For Lender Status Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2016
 SEC Domestic Anti-Bribery Action – No Flyovers for Violations of Internal Policies Holland & Hart LLP
Dec
12
2016
 Final Issue Price Regulations Significantly Change Current Rules Bracewell LLP
Dec
9
2016
 Supreme Court Rules on Insider Trading Involving Family and Friends Katten
Dec
8
2016
 Proposed Regulations Address Applicable Adjustments to Stock and Stock Rights under Code Section 305(c) McDermott Will & Emery
Dec
8
2016
 The Year In Review: SEC Enforcement Actions Against Investment Advisers K&L Gates
Dec
8
2016
 Supreme Court Confirms Rule on Insider Trading Involving Tips of Confidential Information to Friends and Relatives Michael Best & Friedrich LLP
Dec
8
2016
 The Supreme Court Restores Implied Benefit Theory in Insider Trading Prosecutions of Downstream Tippees Cadwalader, Wickersham & Taft LLP
Dec
8
2016
 Goodbye, Newman – U.S. Supreme Court Gives Government Key Victory in Insider Trading Cases Hunton Andrews Kurth
Dec
8
2016
 Supreme Court Resolves Insider Trading Circuit Split Bracewell LLP
Dec
8
2016
 California Corporations: When Majority Won’t Suffice Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
8
2016
 Tipping (Pre-Newman): Insider Trading Cartoon Series, Vol. X Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Dec
7
2016
 Supreme Court Upholds Insider Trading Prosecutions on Mere Disclosure to Friends and Family Foley & Lardner LLP
Dec
7
2016
 Key Implications of the Supreme Court’s Decision in Salman K&L Gates
Dec
7
2016
 United Airlines Settles with SEC for Side-Stepping Its Own Anti-Corruption Controls: Management Override for a Ride Over to South Carolina Cadwalader, Wickersham & Taft LLP
Dec
7
2016
 U.S. Supreme Court Decides Salman, Reaffirms Broader View of Insider Trading Barnes & Thornburg LLP
Dec
7
2016
 Multi-Level Tipping: Insider Trading Cartoon Series, Vol. XI [VIDEO] Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Dec
7
2016
 Salman Decision: Supreme Court Weighs in on Insider Trading Morgan, Lewis & Bockius LLP
Dec
6
2016
 PICO Holdings, Inc. Solicited Consents To Remove Sitting Director Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
6
2016
 Tale of Two Whistleblowers: Lessons Learned from Today’s SEC Whistleblower Award Zuckerman Law
Dec
6
2016
 Twelve Things to Know About SEC’s Whistleblower Program K&L Gates
Dec
5
2016
 Ninth Circuit Court Rejects Challenge To Internal Affairs Doctrine Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2016
 Post-Election Outlook for Financial Regulatory Agencies: U.S. Securities and Exchange Commission Covington & Burling LLP
Dec
2
2016
 Unregistered Sales Of Certificates Of Deposit Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2016
 Proxy Advisory Firms in the Spotlight: Looking in the Crystal Ball Faegre Drinker
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