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
20
2015
 SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO] Katten
Jan
20
2015
 No Action Letters: The SEC’s Rule 14a-8 Process Just Became Even More Pointlessly Outré Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
18
2015
 ESMA Publishes First Annual Review of CCP Colleges Under EMIR--European Securities and Markets Authority Katten
Jan
17
2015
 New Law Aligns Clearing and Margin Exceptions for Swaps Katten
Jan
17
2015
 SEC 2015 Examination Priorities Focus on Liquid Alternatives and Fixed-Income Funds Katten
Jan
16
2015
 SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other Illegal Activity Proskauer Rose LLP
Jan
16
2015
 SEC Extends AML Relief for Broker-Dealer CIP Reliance on Advisers Morgan, Lewis & Bockius LLP
Jan
16
2015
 CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law Katten
Jan
16
2015
 Investor Notification of Fraud: This Is One Form 8-K You’ll Never Want To File Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
16
2015
 SEC Releases 2015 Examination Priorities --Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Jan
16
2015
 Government Seeks Extended Prison Term in Securities Fraud Case Katten
Jan
16
2015
 ESMA Recommends to the European Commission That All MiFID Firms Have a Full-Time Compliance Function--European Securities and Marketing Authority Katten
Jan
16
2015
 ESMA Announces Open Hearing on MiFID II and MiFIR--European Securities and Markets Association Katten
Jan
16
2015
 Four Things to Know About the 2015 SEC OCIE Exam Priorities Mintz
Jan
15
2015
 New FINRA Rule Addresses Payments to Unregistered Persons Greenberg Traurig, LLP
Jan
15
2015
 FINRA’s New Background Investigation Rule Will Likely Increase Firms’ Costs and Potentially Increases Exposure for Firms in Customer Disputes Proskauer Rose LLP
Jan
15
2015
 Representing Others Before The SEC --Securities and Exchange Commission Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
14
2015
 New Best Execution Requirement for Municipal Securities Transactions Morgan, Lewis & Bockius LLP
Jan
14
2015
 NASAA Launches Streamlined Electronic Multi-State Private Offering Filing System --North American Securities Administrators Association Barnes & Thornburg LLP
Jan
13
2015
 SEC Sanctions Two Exchanges for Failing to Accurately Describe Order Types and Making Preferential Disclosure to High Frequency Traders Proskauer Rose LLP
Jan
13
2015
 SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising Vedder Price
Jan
13
2015
 SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk --Financial Stability Oversight Council Vedder Price
Jan
13
2015
 SEC Extends Temporary Rule Regarding Adviser Principal Trades Vedder Price
Jan
13
2015
 SEC Approves FINRA Rule Strengthening Background Checks Proskauer Rose LLP
Jan
12
2015
 SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities Katten
Jan
12
2015
 Proxy Access Proposal: ‘Tis A “Bootless Labour” To Ask The Staff To Appeal Its Own No-Action Advice Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
12
2015
 SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration Katten
Jan
12
2015
 CFTC Staff Extends No-Action Relief for Certain FCMs from Receipt of Depository Acknowledgment Letters Katten
Jan
12
2015
 ICE Futures U.S. Adopts Disruptive Trading Practices Rule Katten
Jan
11
2015
 SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds Katten
Jan
10
2015
 CFTC Staff Grants No-Action Relief to Entities Operating Insurance-Linked Securities Issuers Katten
Jan
9
2015
 SEC Charges Chilean Citizens With Insider Trading Concerning Tender Offer for Chilean Katten
Jan
8
2015
 CFTC Reopens Comment Period for Position Limits - Commodity Futures Trading Commission Covington & Burling LLP
Jan
8
2015
 FINRA’s 2015 Examination Priorities Zero In On Abusive Trading Algorithms and Other Issues Involving Trading Technology Proskauer Rose LLP
Jan
7
2015
 More Questions About California’s Limited Offers Section 25102(f) Exemption - Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
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