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
Nov
7
2015
 DERA Publishes Study of Unregistered Offering Katten
Nov
7
2015
 SEC Adopts Final Crowdfunding Rules, Completing JOBS Act Rulemaking Katten
Nov
6
2015
 SEC Proposes Amendments to Rules 147 and 504 Katten
Nov
6
2015
 IRS Announces Inflation-Adjusted Amounts for 2016 Sheppard, Mullin, Richter & Hampton LLP
Nov
6
2015
 SEC Grants Exemptive Relief With Respect to the Large Trader Rule Katten
Nov
6
2015
 Director of SEC’s Enforcement Division Speaks About Market Structure Enforcement Katten
Nov
6
2015
 SEC Crowdfunding Rule Summary Morgan, Lewis & Bockius LLP
Nov
6
2015
 Final Crowdfunding Rules Approved by SEC Barnes & Thornburg LLP
Nov
5
2015
 SEC Charges Private Equity Firm and Four Executives with Failing to Disclose Conflicts of Interest Proskauer Rose LLP
Nov
5
2015
 Hollow Nickel, Hollywood And Texas Gulf Sulphur Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
4
2015
 Life is Larger than Fiction in EB-5 Litigation: SEC Moves For Asset Freeze, Accounting, and Receiver Appointment in Civil Fraud Action in Florida Mintz
Nov
4
2015
 SEC Director of the Division of Enforcement Discusses Market Structure Enforcement Proskauer Rose LLP
Nov
4
2015
 What’s So Special About An 80% Doing Business Threshold? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
4
2015
 EB-5 Due Diligence Matters: Industry at Point of Inflection Regarding Securities Compliance Mintz
Nov
3
2015
 SEC Permits Companies to Sell Securities Through Crowdfunding Greenberg Traurig, LLP
Nov
3
2015
 SEC Finally Adopts Final Rules on Crowdfunding Michael Best & Friedrich LLP
Nov
3
2015
 Rule 147 Changes May Cause Uptick In California Securities Qualifications Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
2
2015
 Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) Katten
Nov
2
2015
 House Financial Services Committee To Hold Mark-Up; Several Agencies Propose, Finalize Various Rules Squire Patton Boggs (US) LLP
Nov
2
2015
 ISS Proposes To Go Overboard In Proposed Policy Change Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
30
2015
 October 2015 Compilation of Enforcement and Non-Enforcement Actions Foley & Lardner LLP
Oct
30
2015
 Institutional Shareholder Services Releases 2016 Draft Voting Policy Changes for Comment Katten
Oct
30
2015
 SEC Issues Guidance on Rule 14a-8(i)(9) and Rule 14a-8(i)(7) Katten
Oct
30
2015
 Nevada Supreme Court Opines On Scope Of Debtor’s Exemption For Stock Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
29
2015
 Recent MCDC Settlements Provide Guidance Concerning Scope of Materiality in Continuing Disclosure Obligations Foley & Lardner LLP
Oct
29
2015
 Chancellor Bouchard Rules There Can Be No Ratification Without Works for Facebook Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
28
2015
 CFPB Wants to Eliminate “Free Pass” of Class-Action Waivers in Consumer Arbitration Agreements Greenberg Traurig, LLP
Oct
28
2015
 NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal as SEC Focus on ETFs Continues Morgan, Lewis & Bockius LLP
Oct
28
2015
 California’s Secured Promissory Note Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
28
2015
 ISS Proposes Changes to Guidelines in France, Canada and Brazil Squire Patton Boggs (US) LLP
Oct
27
2015
 Ninth Circuit Rejects Adverse-Interest Exception in Fraud-on-the Market Securities Class Actions Proskauer Rose LLP
Oct
27
2015
 Update from Coscia Trial re: Financial Regulation Barnes & Thornburg LLP
Oct
27
2015
 Investment Management Legal and Regulatory Update - October 2015 Godfrey & Kahn S.C.
Oct
26
2015
 SEC Enforcement Actions Up in 2015 Greenberg Traurig, LLP
Oct
26
2015
 Bridging the Week: October 19 to 23 and 26, 2015 (Automated Trading Controls; Too Much Regulation; Spoofing; Evasion; Customer Funds Investments) Katten
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