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
17
2014
 Cyber Security Top Priority in Today’s Tech-Savvy World Bilzin Sumberg
Nov
17
2014
 Nevada Secretary Of State Denies Hacking Claim Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
16
2014
 European Securities and Markets Authority (ESMA) Takes First Steps Toward Determining Whether To Extend AIFMD’s Passport to Non-EU AIFMs Katten
Nov
16
2014
 Commodity Futures Trading Commission (CFTC) Issues 30.7 Customer Funds No-Action Relief and Interpretation Katten
Nov
14
2014
 Commodity Futures Trading Commission (CFTC) Issues Further Relief for Package Transactions Katten
Nov
14
2014
 OTC Derivatives Regulators Group Issues Report to G20 Leaders Katten
Nov
14
2014
 CBOE Makes Enhancements to Its Market-Maker Trade Notification System Katten
Nov
14
2014
 Proxy Advisory Firms Release Policy Updates for 2015 Katten
Nov
14
2014
 California Court Of Appeal’s Long Opinion On Short Selling Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
14
2014
 Recent Key Bitcoin and Virtual Currency Regulatory and Law Enforcement Developments Katten
Nov
13
2014
 Why SEC Commissioner Gallagher Is Not Mistaken On Political Spending Disclosure Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
13
2014
 Aging Boomers and Rollovers to IRAs Faegre Drinker
Nov
13
2014
 GoPro Announces Plans to Sell Millions In Stock McBrayer, McGinnis, Leslie and Kirkland, PLLC
Nov
13
2014
 FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process Sheppard, Mullin, Richter & Hampton LLP
Nov
12
2014
 SEC to Approve “Exchange-Traded Managed Funds” Morgan, Lewis & Bockius LLP
Nov
12
2014
 SEC’s Increased Use of Administrative Proceedings Draws Criticism and Legal Challenges Mintz
Nov
12
2014
 California Life Science Company Pays $55 Million in FCPA (Foreign Corrupt Practices Act) Settlement Steptoe & Johnson PLLC
Nov
12
2014
 Wisconsin Federal Court Follows 5th Circuit Asadi Decision, Dismisses Dodd-Frank Whistleblower Claim Proskauer Rose LLP
Nov
12
2014
 REIT (Real Estate Investment Trusts) Spin-Offs: Recent Transactions and IRS Rulings McDermott Will & Emery
Nov
12
2014
 FINRA's (Financial Industry Regulatory Authority) New Consolidated Supervision Rules: A Roadmap to Compliance Katten
Nov
11
2014
 SEC Scrutiny of Crowdinvesting Sites Not Registered as Broker-Dealers Mintz
Nov
11
2014
 Tweaking, Residual Interest; CFTC Priorities; Enforcement Highlights; G-IBs; Stress Tests - Bridging the Week: November 3 to 7 and November 10, 2014 [VIDEO] Katten
Nov
11
2014
 European Securities and Markets Authority (ESMA) Consults on Uniform Definition of EU Commodity Derivatives Morgan, Lewis & Bockius LLP
Nov
11
2014
 Extraordinary Turnout and Discussions at ULC (Uniform Law Commission) Unclaimed Property Drafting Meeting McDermott Will & Emery
Nov
10
2014
 SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond Offering Document Mintz
Nov
10
2014
 All Shares Are Equal But With Proxy Access Some Shares Are More Equal Than Others Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
10
2014
 SEC Investment Management Director Speech Focuses on Alternative Mutual Fund Disclosures Katten
Nov
9
2014
 SEC Approves New Exchange Traded Mutual Fund Structure Katten
Nov
9
2014
 Raj Rajaratnam Appeals $92 Million Civil Fine to Second Circuit Court of Appeals Katten
Nov
8
2014
 SEC Charges Former Pharmaceutical Executive and Close Friend With Insider Trading Katten
Nov
7
2014
 Bio-Rad Settlement Reinforces FCPA Trends (Foreign Corrupt Practices Act) Barnes & Thornburg LLP
Nov
7
2014
 SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution Katten
Nov
7
2014
 Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted Transaction Katten
Nov
7
2014
 Division of Investment Management Issues Guidance on the Presentation of Consolidated Financial Statements Vedder Price
Nov
7
2014
 SEC Charges Investment Advisory Firm and Top Officials with Custody Rule Violations Vedder Price
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