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
Oct
30
2014
 Political Spending Disclosures – An Idea So Good That I Think You Should Pay For It Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
28
2014
 The Proper Purpose Of Discovery In California Derivative Suits Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
28
2014
 Better Culture; Accountants; London Whale; Asset-Backed Securities; Collusive Activity; Cybersecurity - Bridging the Week: October 20-27, 2014 [VIDEO] Katten
Oct
28
2014
 UK Legal Update: De facto vs Shadow Directorships Greenberg Traurig, LLP
Oct
27
2014
 Delaware Court of Chancery Rejects Contemporaneous Ownership Requirement For Creditors Asserting Derivative Claims Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2014
 Should The SEC Ask What Would Blackstone Do? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
27
2014
 Financial Industry Regulatory Authority (FINRA) Remarks at the National Society of Compliance Professionals Conference Katten
Oct
26
2014
 SEC Denies Two Proposed Applications for Non-Transparent Active ETFs Katten
Oct
26
2014
 SEC Announces Record Number of Enforcement Actions in FY 2014 Katten
Oct
25
2014
 SEC Sanctions Athena in First High-Frequency Trading Manipulation Case Katten
Oct
24
2014
 AIFM Directive for US Private Fund Managers Katten
Oct
24
2014
 Committee on Payments and Market Infrastructures-International Organization of Securities Commissioners (CPMI-IOSCO) Recovery of Financial Market Infrastructures Report Katten
Oct
24
2014
 Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits Katten
Oct
24
2014
 CFTC Issues Interpretation Regarding Accounting for Customer Margin Payments Using Automated Clearing House Payment Processing Katten
Oct
24
2014
 Commissioner’s Concerns About Civil Penalties Temper SEC’s Release of FY14 Enforcement Results Faegre Drinker
Oct
22
2014
 Can An Employment Agreement Be A Wee Bit Too Integrated? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
22
2014
 Changes on Horizon for Equity Compensation Plans as ISS (Institutional Shareholder Services Inc.) Issues New Draft Policy Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2014
 Forum Selection Clauses Were Here Before They Were In Bylaws (Delaware) Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
21
2014
 China State Council Approves Adjustment of Special Access Management Measures in Shanghai Pilot Free Trade Zone Sheppard, Mullin, Richter & Hampton LLP
Oct
20
2014
 Bridging the Week: October 13 to 17 and 20, 2014 (Marking the Close; CPO Delegation; Clearinghouse Recovery; To Tweet or Not to Tweet) Katten
Oct
20
2014
 FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers Proskauer Rose LLP
Oct
19
2014
 International Securities Exchange (ISE) Proposes to Amend Rules Regarding Information Barriers Between Customer and Proprietary Businesses Katten
Oct
17
2014
 Investment Adviser Challenges Constitutionality of SEC Administrative Proceedings Katten
Oct
17
2014
 Commodity Futures Trading Commission (CFTC) Provides Additional Relief to Certain Delegating Commodity Pool Operators (CPOs) Katten
Oct
17
2014
 Delaware Chancery Rejects Books and Records Demand as Time-Barred Katten
Oct
17
2014
 SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition Katten
Oct
17
2014
 Institutional Shareholder Services (ISS) Releases 2015 Draft Voting Policy Changes for Comment Katten
Oct
17
2014
 SEC Faces New Constitutional Challenge to Administrative Proceedings Based on Tenure Protection of Administrative Law Judges Faegre Drinker
Oct
17
2014
 The Point Of An Unenforceable Noncompete May Be Very Sharp Indeed Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
16
2014
 SDNY Dismisses Extraterritorial SOX and Dodd-Frank Whistleblower Claims Proskauer Rose LLP
Oct
16
2014
 The SEC's Municipalities Continuing Disclosure Cooperation (MCDC) Initiative: Where To Go from Here Katten
Oct
16
2014
 Why Including The Year Of Enactment Can Be Important in California Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2014
 Why The SEC Should Stay Out Of The Fee-Shifting Charter Debate Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2014
 Managing Compliance Risks in M&A Transactions McDermott Will & Emery
Oct
14
2014
 You’ve Acquired a New Qualified Retirement Plan? Time for a Compliance Check McDermott Will & Emery
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