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
Aug
12
2016
 SEC Charges Another Company for Anti-Whistleblower Provision in Severance Agreements Faegre Drinker
Aug
12
2016
 SEC Enforcement Action Clarifies Broad Scope of Anti-Gag Provision in Dodd-Frank Whistleblower Rules Zuckerman Law
Aug
10
2016
 SEC Approves Nasdaq ‘Golden Leash’ Disclosure Rules Morgan, Lewis & Bockius LLP
Aug
9
2016
 SEC Increases Performance Fee Net Worth Threshold for Qualified Clients Neal, Gerber & Eisenberg LLP
Aug
8
2016
 Who Wins in SEC Administrative Proceedings? Proskauer Rose LLP
Aug
8
2016
 Bridging the Week: Exchange Fees; Cross Border Relief; Leaking Confidential Information; OATS; Times They Are A Changin’ [VIDEO] Katten
Aug
8
2016
 SEC Approves Generic Listing Standards for Active ETFs Morgan, Lewis & Bockius LLP
Aug
8
2016
 Fukuda v. Nethercott: This Case Caused Me To Take Stock Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
5
2016
 The SEC Retains its House Advantage During Administrative Proceedings Cadwalader, Wickersham & Taft LLP
Aug
5
2016
 Nasdaq Requires Disclosure of Third-Party Payments to Directors Hunton Andrews Kurth
Aug
5
2016
 FINRA Adopts Amendments on Resumption of Trading Katten
Aug
4
2016
 EB-5 Program: What is the Role of the SEC? Greenberg Traurig, LLP
Aug
4
2016
 Corporate Boards of Directors: California, Delaware And Nevada Differ On Committee Composition Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
3
2016
 Key Takeaways from Cornerstone Research’s Securities Class-Action Filings 2016 Midyear Assessment Proskauer Rose LLP
Aug
3
2016
 Amendments to Basel Securitisation Framework – Alternative Capital Treatment for Simple, Transparent and Comparable Securitisations Cadwalader, Wickersham & Taft LLP
Aug
1
2016
 SEC Approves Nasdaq’s Proposed Rule on Third Party Payments to Directors and Director-Nominees – The “Golden Leash” Disclosure Sheppard, Mullin, Richter & Hampton LLP
Aug
1
2016
 California Corporations Code: Shares May Have Voting Rights But Not Voting Power Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
29
2016
 Proposed FINRA Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility Katten
Jul
28
2016
 Tax Case Sparks Shareholder Derivative Suit McDermott Will & Emery
Jul
28
2016
 Sanchez v. Crocs: Tenth Circuit Address Extraterritoriality Greenberg Traurig, LLP
Jul
28
2016
 Securities and Exchange Commission: “Interim Final Temporary Rules”, Say What? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
27
2016
 Coming Soon: New Incentive Comp Limits for Financial Institutions ArentFox Schiff LLP
Jul
27
2016
 CFTC Announces Second Whistleblower Award in 2016 as Agency’s Whistleblower Reward Program Picks Up Steam Zuckerman Law
Jul
26
2016
 SEC Adopts Amendments Updating its Rules of Practice for Administrative Proceedings Mintz
Jul
26
2016
 SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway Greenberg Traurig, LLP
Jul
26
2016
 California Corporations Code: Is Rescission Ever Legal? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
25
2016
 Proposed Rule Relates to Investment Advisers' Business Continuity and Transition Plans Bracewell LLP
Jul
25
2016
 Investment Firm to Pay Record $11 Million Fine for Violation of Hart-Scott-Rodino Act Bracewell LLP
Jul
25
2016
 Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] Katten
Jul
25
2016
 SEC Examiners Focused on Fund Share Class Conflicts of Interest Morgan, Lewis & Bockius LLP
Jul
25
2016
 Municipal Advisor, School Consultant, Associated Individuals Enter Settlement Offers with SEC After First-of-its-Kind Municipal Advisor Antifraud Enforcement Action Bracewell LLP
Jul
25
2016
 California Corporations Code: When Share Rescission Is Not Distribution Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
22
2016
 SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2016
 SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look Katten
Jul
22
2016
 Basel Committee Adopts Capital Requirements for STC Securitizations Morgan, Lewis & Bockius LLP
Subscribe to Securities SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins