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
2014
 Senator Blumenthal Urges SEC To Investigate Fee-Shifting Charter Provisions Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
7
2014
 Division of Investment Management Issues Guidance Regarding Mixed and Shared Funding Orders Vedder Price
Nov
6
2014
 Institutional Shareholder Services (ISS) Announces QuickScore 3.0 – Data Verification Period Ends November 14th Hunton Andrews Kurth
Nov
6
2014
 You Operate in Africa, Employ Only Africans, and Deal with Only African Governments: Are You Exempt From U.S. FCPA Compliance? Maybe Not. Greenberg Traurig, LLP
Nov
6
2014
 Municipal Securities Rulemaking Board (MSRB) Advances Expanded Pay-to-Play Rule Covering Municipal Advisors Covington & Burling LLP
Nov
6
2014
 Does “Valid Issuance” Require A Stock Certificate? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
5
2014
 The Re-Proposed Margin Rules for Non-Cleared Swaps: Some Issues and Suggestions for End Users Katten
Nov
5
2014
 Three Observations From the SEC’s Settlements with Thirteen Municipal Dealers Over Below-Denomination Sales of Puerto Rico Bonds Mintz
Nov
5
2014
 Study: Does The Existence Of Whistleblowers In Enforcement Actions Mean Greater Penalties? Proskauer Rose LLP
Nov
5
2014
 CFTC, SEC, and the Korea Financial Services Commission: Bridging the Week: October 27 to 31 and November 3, 2014 Katten
Nov
5
2014
 Securities: Supreme Court Seems Likely to Adopt Reasonable Basis Standard for Section 11 Claims Concerning Statements of Opinion in Registration Statements Mintz
Nov
5
2014
 A New Fine Question – What Date Should Be Placed On A Stock Certificate? Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
4
2014
 California Court Allows Dodd-Frank Whistleblower Claims to Proceed Despite Absence of Complaint to SEC Proskauer Rose LLP
Nov
4
2014
 Director & Officer (D&O) Liability for Data Breaches After Palkon v. Holmes Mintz
Nov
4
2014
 The Latest from Dodd-Frank: Credit Risk Retention Rule Finalized Morgan, Lewis & Bockius LLP
Nov
3
2014
 The High Cost of Whistleblowing Mintz
Nov
3
2014
 OFAC Settlement Extends Violations to “Support Service” Providers Morgan, Lewis & Bockius LLP
Nov
3
2014
 California Federal Court Finds Use Of “P” Word Does Not Necessarily A Partnership Make Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
3
2014
 Institutional Shareholder Services (ISS) Announces Launch of QuickScore 3.0 Katten
Nov
2
2014
 A Trap for the Unwary in International Acquisitions: New Information Rights for Employees Prior to Sale of Company in France Covington & Burling LLP
Nov
2
2014
 Business Judgment Rule Protects Board’s Decision to Maximize the Value of an Insolvent Delaware Corporation Even If It Puts Creditors at Risk Mintz
Nov
2
2014
 European Commission Adopts First Equivalence Decisions for Non-EU Central Counterparties (CCPs) Katten
Nov
2
2014
 Securities Class Action Dismissed Where Information Was Publicly Available - Reinschmidt v. Zillow, Inc. Katten
Nov
2
2014
 Three Take-Aways from the SEC’s Six-Month Report on Administrative Proceedings Mintz
Nov
2
2014
 SEC Provides Relief to Goldman Sachs Execution & Clearing (GSEC) From Rule 204 Close-Out Requirements Katten
Nov
1
2014
 Evaluating Foreign Investment Restraints in China Covington & Burling LLP
Nov
1
2014
 Layne Christensen Settles SEC FCPA Probe Faegre Drinker
Nov
1
2014
 Updated: Commodity Futures Trading Commission (CFTC) Extends Relief to Futures Commission Merchants (FCMs) from Certain Commingling Requirements Katten
Nov
1
2014
 UK Regulators Launch Review of Fixed Income, Foreign Exchange and Commodities Markets Katten
Nov
1
2014
 Italian Short-Term Ban on Shorting Banca Monte dei Paschi di Siena spa and Banca Carige spa Katten
Nov
1
2014
 ISS Quickscore 3.0 – Review Validation Data Before November 14th Womble Bond Dickinson (US) LLP
Oct
31
2014
 District Court Holds Video Game Company’s Optimistic Statements Are Not Actionable Katten
Oct
31
2014
 Updated European Market Infrastructure Regulation (EMIR) Q&A Published by European Securities and Markets Authority (ESMA) Katten
Oct
31
2014
 Six Federal Agencies Jointly Approve Final Risk Retention Rule Katten
Oct
30
2014
 What ERISA Service Providers Should Know About Money Market Reform Faegre Drinker
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