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
10
2014
 Conflict Minerals Rule Update: Emergency Motion Filed For Complete Stay of SEC's Conflict Minerals Rule Greenberg Traurig, LLP
May
10
2014
 Securities and Exchange Commission (SEC) Approves Financial Industry Regulatory Authority (FINRA) Rule Change to Limit Self-Trading Katten
May
10
2014
 Second Circuit Applies Morrison v. National Australia Bank to Allow Certain Extraterritorial Application of RICO Sheppard, Mullin, Richter & Hampton LLP
May
10
2014
 SEC Charges Five Co-Conspirators in Reverse Merger Scheme Katten
May
10
2014
 Securities and Exchange Commission (SEC) Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules Vedder Price
May
10
2014
 Federal Election Commission (FEC) Approves Bitcoin Political Donations While SEC Issues Investor Alert Katten
May
9
2014
 Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 11892 Katten
May
9
2014
 Securities and Exchange Commission (SEC) Charges Investment Adviser for Undisclosed Revenue Sharing Agreements Vedder Price
May
9
2014
 Division of Investment Management Issues Guidance Regarding Fund Deregistrations Vedder Price
May
9
2014
 Cyber Risks for the Boardroom Part 5: Coverage for Privacy Violations Mintz
May
9
2014
 If It’s An LLC, Why Cite Corporate Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
9
2014
 Office of Compliance and Inspections and Examinations (OCIE) Issues Cybersecurity Risk Alert Vedder Price
May
9
2014
 Don't Sweat the Details...Unless You're Filing at the Federal Election Commission (FEC) Womble Bond Dickinson (US) LLP
May
8
2014
 Cyber Risks for the Boardroom Part 4: Coverage for Investigations Potential Gaps in D&O (Director & Officer) Coverage Mintz
May
8
2014
 In This “Unreliable” Opinion, California Court Requires Privity For Action Against Unlicensed Broker-Dealer Allen Matkins Leck Gamble Mallory & Natsis LLP
May
7
2014
 Cyber Risks for the Boardroom Part 3: Top Questions Directors Should be Asking about D&O (Directors and Officer) Coverage Mintz
May
7
2014
 Defendants Owed No Fiduciary Duty, But Still Liable re: California Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
May
6
2014
 Software Audits: Strategies for Licensees Mintz
May
6
2014
 Post-Issuance Compliance – More Than Just A Best Practice Re: Tax-Exempt Bonds Varnum LLP
May
6
2014
 Cyber Risks for the Boardroom Part 2: Why Corporate Directors Should be Concerned About Data Security Breaches Mintz
May
6
2014
 Is Nevada Free-Loading On The SEC (Securities and Exchange Commission)? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
5
2014
 SEC (Securities and Exchange Commission) New Compliance & Disclosure Interpretations Michael Best & Friedrich LLP
May
5
2014
 Cyber Risks for the Boardroom Part 1: The Recent Increase in Focus on Privacy Issues Mintz
May
5
2014
 Does Brewing Beer Positively Impact Society And The Environment? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
3
2014
 Nuveen Investment Funds, Inc. No-Action Letter Godfrey & Kahn S.C.
May
3
2014
 The Conflict Minerals Rule: Important Recent Developments Hunton Andrews Kurth
May
2
2014
 Broker-Dealer Regulatory Developments Godfrey & Kahn S.C.
May
2
2014
 SEC (Securities and Exchange Commission) Issues Partial Stay of Conflict Minerals Rule Hunton Andrews Kurth
May
2
2014
 Securities and Exchange Commission (SEC) Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule Katten
May
2
2014
 Securities and Exchange Commission (SEC) Clarifies Conflict Minerals Reporting Requirements Armstrong Teasdale
May
2
2014
 Commodities Futures Trading Commission (CFTC) Provides Relief Regarding Package Transactions Katten
May
2
2014
 District Court Sustains Attachment and Garnishment Writs Under Equitable Powers Katten
May
2
2014
 Meandering Through Minutiae – How The Type of Consideration Can Determine The Need For Shareholder Approval Allen Matkins Leck Gamble Mallory & Natsis LLP
May
1
2014
 SEC (Securities and Exchange Commission) Guidance on the Testimonial Rule and Social Media Godfrey & Kahn S.C.
May
1
2014
 SEC (Securities and Exchange Commission) Focuses on Alternative Funds Godfrey & Kahn S.C.
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