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
Apr
16
2014
 D.C. Circuit Ruling on Industry Challenge and New SEC (Securities and Exchange Commission) Conflict Minerals Disclosure Guidance Beveridge & Diamond PC
Apr
16
2014
 Foreign Listed Stock Index Futures and Options Approval Chart April 16, 2014 Katten
Apr
16
2014
 This Proposed Amendment To DGCL (Delaware General Corporation Law) Section 141(f) Is A Curate’s Egg Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
15
2014
 D.C. Appellate Court Issues Opinion on SEC’s Conflict Minerals Rule - Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2014
 Disgorgement in the Second Circuit: Equitable Relief or Punishment? Barnes & Thornburg LLP
Apr
15
2014
 SEC (Securities and Exchange Commission) Conflict Minerals Rules: Name And Shame No More? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
14
2014
 SEC (Securities and Exchange Commission) Staff Releases Compliance and Disclosure Interpretations Related to Intrastate Crowdfunding Godfrey & Kahn S.C.
Apr
14
2014
 American Icon Amends Stock Plan To Make It Section 25102(o) Eligible – Why? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
12
2014
 Banking Agencies Adopt Enhanced Supplementary Leverage Ratio Final Rule Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Obtains Settlement for Violations of Registration Rules and “Layering” Katten
Apr
11
2014
 U.S. Supreme Court Subjects Certain Employment Termination Payments to FICA (Federal Insurance Contributions Act) Tax Greenberg Traurig, LLP
Apr
11
2014
 CFTC (Commodity Futures and Trading Commission) Reissues and Clarifies Relief Regarding Swaps Trading on MTFs (Multilateral Trading Facilities) Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Issues New FAQs on Conflict Minerals Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Introduces Continuing Disclosure Cooperation Initiative Hunton Andrews Kurth
Apr
11
2014
 SEC (Securities and Exchange Commission) Establishes Dedicated Group to Focus on Private Funds Faegre Drinker
Apr
11
2014
 And You Thought Dissenters’ Rights Didn’t Apply To Delaware LLCs (Limited Liability Corporations) Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
10
2014
 Co-Owner of an Unregistered New Jersey Brokerage Firm Settles “Spoofing” Charges Faegre Drinker
Apr
9
2014
 Securities and Exchange Commission (SEC) Creates Team to Examine Private Equity and Hedge Funds Barnes & Thornburg LLP
Apr
9
2014
 SEC Steps Up Scrutiny of Municipal Bonds: Recently Filed Enforcement Actions Mintz
Apr
9
2014
 U.S. Supreme Court Extends Sarbanes-Oxley Whistleblower Protection Vedder Price
Apr
8
2014
 Securities and Exchange Commission (SEC) Staff Member Discusses Planned Sweep Examination of Alternative Funds Vedder Price
Apr
8
2014
 Quarterly Whistleblower Award Update Faegre Drinker
Apr
8
2014
 Division of Investment Management Issues Guidance Regarding Aggregate Advisory Fee Rates for Multi-Manager Funds Vedder Price
Apr
8
2014
 First-Ever Securities and Exchange Commission (SEC) Bounty Winner Receives Additional Payout Proskauer Rose LLP
Apr
8
2014
 California Bill Aims To Exempt Venture Capital Company Equity Security Investments From Lenders Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
7
2014
 Sixth Circuit Affirms Dismissal of Securities Class Action for Failure to Properly Plead Scienter Katten
Apr
5
2014
 SEC (Securities and Exchange Commission) Requests Comment on FINRA (Financial Industry Regulatory Authority) Rules Katten
Apr
4
2014
 The Organization for Economic Co-operation and Development's (OECD) Base Erosion and Profit Shifting (BEPS) Project – A UK update (Part I) McDermott Will & Emery
Apr
4
2014
 SEC (Securities and Exchange Commission) Commissioner Offers Views on SASB (Sustainability Accounting Standards Board) Morgan, Lewis & Bockius LLP
Apr
4
2014
 Appropriate Cautionary Language Leads to Dismissal of Investor’s Securities Fraud Suit Katten
Apr
4
2014
 OTC (Over the Counter) Derivatives Regulators Group Issues Report to G20 Katten
Apr
4
2014
 The Burdens And Standards Of Proof And Review Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2014
 Arbitration Agreements and Whistleblower Protections Faegre Drinker
Apr
3
2014
 Securities and Exchange Commission (SEC) Enforcement Staff’s Investigations of Financially Stressed Municipal Issuers Mintz
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