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
May
21
2014
 Are Proper Names In A Language? Re: Corporation Names Allen Matkins Leck Gamble Mallory & Natsis LLP
May
21
2014
 Commodities Futures Trading Commission (CFTC) Issues First Whistleblower Program Award Proskauer Rose LLP
May
20
2014
 Does A Consumer’s Exercise of a Rescission Right Mean that the Loan Is Automatically Rescinded? Sheppard, Mullin, Richter & Hampton LLP
May
20
2014
 District Court of Southern Florida to SEC: Seven-Year Investigation a Bit (Too) Long for My Jurisdiction – Enforcement Action Against Alleged Ponzi Schemers Dismissed Neal, Gerber & Eisenberg LLP
May
20
2014
 Consumer Futures Trading Commission (CFTC) Announces First Whistleblower Award Faegre Drinker
May
20
2014
 Whose Role is it Anyway? Unanswered Questions About Social, Political, or Environmental Corporate Disclosures Mintz
May
20
2014
 Florida District Court Bolsters the Five-Year Statute of Limitations Defense to SEC Civil Enforcement Actions Barnes & Thornburg LLP
May
20
2014
 Graham Decision Adopts Gabelli Rationale to Apply Five-Year Statute of Limitations to Enforcement Actions Seeking Equitable Relief Faegre Drinker
May
19
2014
 Separate Financial Statements and the SEC’s Disclosure Effectiveness Project Morgan, Lewis & Bockius LLP
May
19
2014
 Fourth Circuit Holds Supreme Court’s Janus Ruling Not Applicable in Criminal Cases Faegre Drinker
May
19
2014
 SEC’s Office of Compliance Inspections and Examinations (OCIE) Director Reports Violations Regarding Fees Common at Private Equity (PE) Firms Faegre Drinker
May
17
2014
 Fourth Circuit Declines to Extend Janus to Criminal Cases Re: Securities Fraud Katten
May
16
2014
 SEC (Securities and Exchange Commission) Gives Insider Trader a $30,000 Slap On The Wrist Faegre Drinker
May
16
2014
 Deadline Looms for Conflict Mineral Disclosure Requirements: Update for Suppliers of Reporting Companies Varnum LLP
May
16
2014
 Financial Industry Regulatory Authority (FINRA) Proposes Changes to FINRA Rules 7410 and 2121 Katten
May
16
2014
 Commodity Futures Trading Commission (CFTC) Staff Announces Streamlined No-Action Relief Process for Certain CPOs (Commodity Pool Operators) Katten
May
16
2014
 Delaware Supreme Court Upholds Fee-Shifting Bylaw Katten
May
16
2014
 Conflict Minerals Rule Update: D.C. Circuit Court Denies Request for Stay Hunton Andrews Kurth
May
16
2014
 Updated: No Stay of SEC’s Conflict Minerals Rules - Securities and Exchange Commission Morgan, Lewis & Bockius LLP
May
16
2014
 Corporate Internal Affairs Doctrine May Not Control Alter Ego Liability Allen Matkins Leck Gamble Mallory & Natsis LLP
May
15
2014
 Delaware Supreme Court Finds Fee-Shifting Bylaw Permissible Hunton Andrews Kurth
May
15
2014
 China Securities Regulatory Commission (CSRC) Issued New Drafts of Administrative Measures on Acquisition of Unlisted Public Companies for Public Comment Sheppard, Mullin, Richter & Hampton LLP
May
14
2014
 When are Public Companies Required to Disclose that They Have Experienced a Material Data Security Breach? Covington & Burling LLP
May
14
2014
 Conflict Minerals in Medical Devices: Securities and Exchange Commission (SEC) Reporting Update Covington & Burling LLP
May
13
2014
 A Cautionary Tale for Private Equity Funds Investing in the European Union Faegre Drinker
May
13
2014
 Securities and Exchange Commission (SEC) Enters Into First Non-Prosecution Agreement (NPA) With An Individual Faegre Drinker
May
13
2014
 Securities Exchange Commission (SEC) Staff Guidance: Companies Must File Conflict Minerals Disclosure With Modifications Faegre Drinker
May
13
2014
 Second Circuit Narrows Reach of Federal Securities Laws as to Foreign Securities Transactions Proskauer Rose LLP
May
12
2014
 Office of Compliance Inspections and Examinations (OCIE) Cybersecurity Initiative Godfrey & Kahn S.C.
May
12
2014
 Possible Future Stay of SEC’s Conflict Minerals Rules - Securities and Exchange Commission Morgan, Lewis & Bockius LLP
May
12
2014
 A Shot In A Mug Of Beer May Not Be The Answer To This Exclusive Forum Bylaw Case Allen Matkins Leck Gamble Mallory & Natsis LLP
May
12
2014
 Delaware Court of Chancery Underscores Heightened Pleading Standard Necessary to Support a Claim for Breach of Fiduciary Duty In Connection With a Merger Sheppard, Mullin, Richter & Hampton LLP
May
12
2014
 Security and Exchange Commission's (SEC) “Neither Admit nor Deny” Settlements Continue to Draw Controversy Faegre Drinker
May
11
2014
 Securities and Exchange Commission (SEC) Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients Vedder Price
May
11
2014
 SEC (SEC Charges Investment Adviser with Custody Rule Violations) Charges Investment Adviser with Custody Rule Violations Katten
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