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
11
2014
 SEC Accounting Staff Speeches at Annual AICPA Conference Morgan, Lewis & Bockius LLP
Dec
11
2014
 Nevada Poised To Increase Output Of Reported Decisions Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
11
2014
 On the Third Day of Privacy, the Shareholders Gave to Me...Shareholder Proposals on Cybersecurity and Privacy Mintz
Dec
11
2014
 FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials Morgan, Lewis & Bockius LLP
Dec
9
2014
 UPDATE: Third Circuit Affirms Arbitrability of Dodd-Frank Retaliation Claim in Khazin v. TD Ameritrade Holding Corp. Faegre Drinker
Dec
9
2014
 Should Judicial Deference To The SEC Be Strong, Weak or Non-Existent? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
9
2014
 Bridging the Week: December 1 to 5 and 8, 2014 [VIDEO] Katten
Dec
8
2014
 Director of the Division of Investment Management Discusses Alternative Mutual Fund Disclosures Vedder Price
Dec
8
2014
 AIFM Directive – Latvia, Poland and Spain Warned by European Commission for Failing to Fully Implement New Investment Fund Rules Katten
Dec
8
2014
 SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report Katten
Dec
7
2014
 NFA Proposes Amendment to NFA Compliance Rule 2-4 Katten
Dec
6
2014
 NFA Issues Guidance on Exempt and Excluded CPOs and CTAs Katten
Dec
5
2014
 Expedited Proceedings Denied iin Delaware Where Harm Is Only Speculative Katten
Dec
5
2014
 CFTC Releases No-Action Letter 14-144 Morgan, Lewis & Bockius LLP
Dec
5
2014
 SEC Charges Company Executives With Issuing False Press Releases to Inflate Stock Price Katten
Dec
5
2014
 Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies Sheppard, Mullin, Richter & Hampton LLP
Dec
5
2014
 FINRA Issues Notice on TRACE Trade Reporting Obligations Katten
Dec
5
2014
 SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking Katten
Dec
5
2014
 Do Conflicting Experts Preclude Summary Judgment? IMS Legal Strategies
Dec
5
2014
 Securities Law, Daubert, Terror Trials: Cases Hinge On Experts IMS Legal Strategies
Dec
4
2014
 DOJ Issues Opinion, Provides (Some) Comfort on Successor Liability Sheppard, Mullin, Richter & Hampton LLP
Dec
4
2014
 Spearphishermen Catch Big Fish re: Data Breaches and Securities Fraud Jackson Lewis P.C.
Dec
3
2014
 SEC Focus on Disclosure Issues for Municipal Securities, Private Equity and ETFs Proskauer Rose LLP
Dec
3
2014
 Muzzling Directors Who Don’t Agree - California Public Employees’ Retirement System (CalPERS) Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2014
 Justices Scalia and Thomas Amenable to Reexamining Deference to SEC Statutory Interpretations Proskauer Rose LLP
Dec
1
2014
 CME Group Report Cards; Cross-Border Regulation; CCP Recovery; Spec Limits and EFRP Fines; Edge of Eternity: Bridging the Week November 24 to 28 and December 1, 2014 [VIDEO] Katten
Dec
1
2014
 ISS (Institutional Shareholder Services) Releases 2015 Proxy Voting Guidelines Mintz
Nov
28
2014
 SEC Will No Longer Require an Acquired Entity to Use “Pushdown” Accounting upon a Change in Control Morgan, Lewis & Bockius LLP
Nov
26
2014
 Ohio Federal Judge Orders Stockholder To “Register” Correspondence With The SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
25
2014
 Private Equity Endures Heightened Public Scrutiny Proskauer Rose LLP
Nov
25
2014
 California Buyer’s “I Have A Plan” Statement Found To Be Immaterial Puffery Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
25
2014
 Bridging the Week: November 17 to 21 and 24, 2014 [VIDEO] Katten
Nov
24
2014
 Asset Purchase: Initial Considerations McBrayer, McGinnis, Leslie and Kirkland, PLLC
Nov
24
2014
 Privacy Monday – November 24, 2014 Mintz
Nov
24
2014
 California Judge Rules Against Franchise Tax Board (FTB) In “Doing Business” Definition Allen Matkins Leck Gamble Mallory & Natsis LLP
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