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
Jun
20
2014
 Delaware Court of Chancery Applies Entire Fairness Standard to Going-Private Transaction with a Controlling Stockholder Negotiated by Special Committee and Approved by a Majority of the Minority Stockholders Katten
Jun
20
2014
 Current Trends and Risks in the Private Equity Industry Sheppard, Mullin, Richter & Hampton LLP
Jun
20
2014
 Securities and Exchange Commission (SEC) to Hold Open Meeting on Cross-Border Security-Based Swap Definitions Katten
Jun
20
2014
 Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 2360 Katten
Jun
19
2014
 Is the Securities and Exchange Commission (SEC) Poised to Bring More Administrative Enforcement Actions In Wake of Insider Trading Trial Court Losses? Barnes & Thornburg LLP
Jun
19
2014
 Securities and Exchange Commission (SEC) Municipalities Continuing Disclosure Cooperation Initiative Update Dickinson Wright PLLC
Jun
17
2014
 Public Company Boards and Management will be Affected by PCAOB’s New and Amended Auditing Standards Regarding Related Party Transactions Morgan, Lewis & Bockius LLP
Jun
16
2014
 Jumpstart Your Startup: Entity Selection and Formation von Briesen & Roper, s.c.
Jun
16
2014
 Commissioner Rings Pension Fund Tocsin Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
16
2014
 Beware: Enterprises Facilitating, But Not Operating In, a Cartelized Market Can Be Fined For Participating In the Cartel Greenberg Traurig, LLP
Jun
13
2014
 Trading Evidence Barred From Rengan Rajaratnam Trial Re: Insider Trading Katten
Jun
13
2014
 Calling All Boards of Directors: Four Recommendations from the SEC (Securities and Exchange Commission) Mintz
Jun
13
2014
 Investment Adviser Accused of $8.8 Million Fraud by Securities and Exchange Commission (SEC) Katten
Jun
13
2014
 US Marshals Service Announces Auction of Silk Road Bitcoins Katten
Jun
13
2014
 SEC Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers Katten
Jun
12
2014
 Initial Public Offerings (IPO) on African Stock Exchanges: The Next Trend? Covington & Burling LLP
Jun
11
2014
 Reducing the Cost of Foreign Corrupt Practices Act (FCPA) Monitoring Barnes & Thornburg LLP
Jun
11
2014
 Directors and Officers (D&O) Insurance and Initial Public Offerings (IPO): Seven Issues You Need to Consider Mintz
Jun
11
2014
 Delaware Court Clarifies Director and Officer Liability in Mergers & Acquisitions (M&A) Transactions Bracewell LLP
Jun
11
2014
 How A Public Records Act Request Can Be Better Than A Subpoena Duces Tecum Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
10
2014
 Securities and Exchange Commission (SEC) Bans Repeat, Bad-Faith Tipster From Future Submissions Proskauer Rose LLP
Jun
10
2014
 Challenges in Requiring High-Frequency Traders to Register as Dealers Morgan, Lewis & Bockius LLP
Jun
10
2014
 Five Questions and Answers About the Second Circuit’s SEC v. Citigroup Decision Mintz
Jun
10
2014
 The "Inadvertent" Investment Company Trap: Identifying Operating Companies Subject to the Investment Company Act Ryley Carlock & Applewhite, A Professional Corporation
Jun
10
2014
 Shareholder Voting Abstentions: Those Who Hold Themselves Apart Seem To Be Getting All The Attention Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
9
2014
 Office of the Comptroller of Currency (OCC) Issues Updated Guidance on Collective Investment Funds Morgan, Lewis & Bockius LLP
Jun
9
2014
 Is Your D&O (Directors and Officers) Policy Ready For The Halliburton Decision? Mintz
Jun
9
2014
 Hanson v. Berthel Fisher & Co. Fin. Servs Re: California Securities Law - This Ruling Appears To “Unravel The Very Fabric Of The Space-time Continuum” Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
9
2014
 Commodity Futures Trading Commission (CFTC) Extends No-Action Relief for Certain Transaction-Level Requirements for Non-US Swap Dealers Katten
Jun
9
2014
 National Futures Association (NFA) Issues Notice Regarding Changes to Form PQR and Form PR Katten
Jun
8
2014
 Commodities Futures Trading Commission (CFTC) and Reserve Bank of Australia Sign Memorandum of Understanding Regarding Cross-Border Clearing Organizations Katten
Jun
8
2014
 New Commodity Futures Trading Commission (CFTC) Commissioners Confirmed; Chairman Sworn In Katten
Jun
7
2014
 Delaware Court of Chancery Invalidates Consent Due to Inadequate Disclosures Katten
Jun
6
2014
 Eleventh Circuit Upholds Convictions in “Pump-and-Dump” Stock Fraud Scheme Katten
Jun
6
2014
 Belated Vindication for the Security and Exchange Commission's Prior Settlement Policy Barnes & Thornburg LLP
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