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
Sep
15
2016
 SEC Enforcement Director Touts Success of SEC Whistleblower Program Zuckerman Law
Sep
15
2016
 Securities Fraud and Violations: Was This “Whiz Kid” An Investment Adviser? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
14
2016
 Ninth Circuit Holds SOX 304 Clawback Applies to Executives Not at Fault Mintz
Sep
14
2016
 North American Securities Administrators Association Releases 2015 Enforcement Report Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
13
2016
 SEC Sues Company and its GC/CCO for Failure to Disclose and Accrue Charge for a Pending DOJ Investigation Proskauer Rose LLP
Sep
13
2016
 Virtus Investment Partners Asks Court to Certify for Interlocutory Appeal Its Decision on Loss Causation Concerning Mutual Fund Disclosures Mintz
Sep
13
2016
 Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification, Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement Sheppard, Mullin, Richter & Hampton LLP
Sep
12
2016
 SEC Whistleblower Awards: Can You Hear Whistles Blow? Valued At More Than $100 Million, You Bet You Can! Polsinelli PC
Sep
12
2016
 In Eagerly Awaited Ruling, AXA Beats Excessive Fee Claim Morgan, Lewis & Bockius LLP
Sep
12
2016
 Charging Order – How Nevada Secretary Of State Doesn’t Get It Quite Right Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
9
2016
 September 2016: A Compilation of Enforcement and Non-Enforcement Actions: AXA Prevails in Excessive Fee Trial; Business Continuity Planning; SEC Rule Designed to Assist Certain Investment Advisers Foley & Lardner LLP
Sep
9
2016
 FINRA Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities Katten
Sep
8
2016
 Settlement with SEC Gives Municipalities 180 Days to Become Compliant With Continuing Disclosure Obligations Dinsmore & Shohl LLP
Sep
8
2016
 SEC Approves Amendments to Form ADV Part 1A and Certain Additions to Investment Advisers Act Rules Faegre Drinker
Sep
7
2016
 SEC Changes Some of Its Procedural Rules After Constitutional Challenges Barnes & Thornburg LLP
Sep
6
2016
 NYSE Guidance on Equity Plan Amendments for Maximum Share Withholding Morgan, Lewis & Bockius LLP
Sep
6
2016
 Significant Changes to Form ADV and Performance Advertising Rules Adopted Katten
Sep
6
2016
 Regulation D Standards and Filings for Israeli Start Ups Greenberg Traurig, LLP
Sep
6
2016
 Whistleblower Awards: Is This SEC Or Lotto? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
3
2016
 UK Financial Conduct Authority Trade Association (FCA) Roundtable on MiFID II Implementation August 3 2016 Katten
Sep
2
2016
 D.C. Circuit Affirms Constitutionality of SEC’s In-House Tribunals Barnes & Thornburg LLP
Sep
2
2016
 SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 Katten
Sep
2
2016
 CFTC Proposes Amendments to Whistleblower Awards Process and Anti-Retaliation Authority Morgan, Lewis & Bockius LLP
Sep
2
2016
 SEC Proposes Amendments Requiring Hyperlinks to Exhibits in Filings Katten
Sep
2
2016
 SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories Katten
Sep
2
2016
 SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities Katten
Sep
1
2016
 SEC Wants Publicly Traded Companies to Remove ‘No Further Recovery’ Promise From Severance Agreements Barnes & Thornburg LLP
Sep
1
2016
 Broker-Lite: FINRA Built It, But Will They Come? Morgan, Lewis & Bockius LLP
Sep
1
2016
 SEC Issues $22 Million Whistleblower Award Proskauer Rose LLP
Aug
31
2016
 Ninth Circuit Holds That SOX Disgorgement of Incentive Compensation Does Not Depend on Executives’ Own Misconduct Proskauer Rose LLP
Aug
31
2016
 SEC Adopts Changes to Form ADV Affecting Advisers to Private Investment Funds Proskauer Rose LLP
Aug
30
2016
 SEC Announces 71 Issuer Municipalities Continuing Disclosure Cooperation Settlements Bracewell LLP
Aug
30
2016
 Nevada Corporations And Virtual Stockholder Meetings Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
29
2016
 EB-5 Securities Law Roundtable Offers Technical Language Resource to Lawmakers Mintz
Aug
29
2016
 Bridging the Week: Summarily Barred, False Performance Data, Inadequate Disclosure, Grass Is Greener (August 22 to 26 and August 29, 2016) [VIDEO] Katten
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