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
3
2014
 An Upside to Parallel Civil and Criminal Investigations? Criminal Authorities May Have to Disclose Exculpatory Information in the Possession of the Civil Agency Faegre Drinker
Apr
3
2014
 SEC v. Jacobs May Signal Limit to Duty of Trust or Confidence Required to Prove Insider Trading Based on Misappropriation Theory - Securities and Exchange Commission Faegre Drinker
Apr
3
2014
 “Neither Admit nor Deny” Settlements at the SEC (Securities and Exchange Commission) Faegre Drinker
Apr
3
2014
 Just How Binding Are SEC Statements In An Adopting Release? - Securities and Exchange Commission Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2014
 Lawson and Doral Expand Whistleblower Protections Faegre Drinker
Apr
2
2014
 Foreign LLCs Take Note: This California Legislative Oversight May Affect You Too Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
1
2014
 Massachusetts Supreme Judicial Court (SJC) Rules on Fiduciary Duties Owed to and By Shareholder-Employee in Closely Held Corporation Mintz
Apr
1
2014
 Texas District Court Cites Recent “Evolution” of Rule 23 Standards to Deny Class Certification Motion in Securities Action Based Upon Allegedly Misleading Registration Statement Sheppard, Mullin, Richter & Hampton LLP
Apr
1
2014
 Financial Accounting Standards Board (FASB) to Modify Going Concern Proposal Morgan, Lewis & Bockius LLP
Apr
1
2014
 9th Circuit Holds Issuer Is Investment Bank’s “Customer” And “Actions and Proceedings” Include Arbitrations Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
31
2014
 Update: Cybersecurity and Internal Control Over Financial Reporting Morgan, Lewis & Bockius LLP
Mar
31
2014
 SEC (Securities and Exchange Commission) Hosts Roundtable on Cybersecurity Issues and Challenges Morgan, Lewis & Bockius LLP
Mar
31
2014
 Securities & Exchange Commission (SEC) Holds Cybersecurity Roundtable Client Alert Faegre Drinker
Mar
31
2014
 Why A Form LLC-1 May Be Only Half Right - California Limited Liability Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
30
2014
 Commodity Futures Trading Commission (CFTC) Requests Public Comment on ICE Swap Trade Packaged Transaction Rule Katten
Mar
29
2014
 Money Manager Sues Securities & Exchange Commission (SEC) to Stop Administrative Action in $1.5 Billion Collateralized Debt Obligations (CDO) Case Katten
Mar
29
2014
 “Housekeeping” Updates for Public Companies Faegre Drinker
Mar
28
2014
 Commodity Futures Trading Commission (CFTC) Extends Expiration of Multilateral Trading Facilities (MTF) Relief Katten
Mar
28
2014
 Jumpstart Our Business and Put it in Neutral: SEC (Securities and Exchange Commission) Proposes Reform of Public Companies Regulations Faegre Drinker
Mar
28
2014
 Proposed Changes to Financial Industry Regulatory Authority (FINRA) Classification of Hybrid Securities for Trade Reporting Purposes Katten
Mar
28
2014
 How Will The Courts Interpret This? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
27
2014
 Audit Committee Member Charged with Fraud for Disregarding Red Flags Morgan, Lewis & Bockius LLP
Mar
26
2014
 Delaware Law to Provide for Ratification of Defective Corporate Acts as of April 1, 2014 McDermott Will & Emery
Mar
26
2014
 Ninth Circuit Court Declines To Apply Rule 9(b) To Section 25401 Claim Re: Securities Litigation Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
25
2014
 U.S. Securities & Exchange Commision (SEC) Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2014
 The Securities Fraud Device That The Legislature Devised To Omit Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
22
2014
 Second Circuit Upholds SEC’s Authority to Obtain Disgorgement from Non-Trading Insider Profits Earned by Portfolio Fund from Insider Trading Sheppard, Mullin, Richter & Hampton LLP
Mar
21
2014
 Amendments to Uniform Branch Office Registration Form Katten
Mar
21
2014
 SEC (Securities and Exchange Commission) Approves New FINRA (Financial Industry Regulatory Authority) Supervision Rules Katten
Mar
21
2014
 CFTC Requests Comment on Swap Data Reporting Rules - Commodity Futures Trading Commission Katten
Mar
21
2014
 New Jersey Court Sends Dodd-Frank Whistleblower Claim To Arbitration Proskauer Rose LLP
Mar
20
2014
 Securities and Exchange Commission's (SEC) Amicus Brief: Internal Whistleblower Reports Covered By Dodd-Frank Anti-Retaliation Provision Proskauer Rose LLP
Mar
20
2014
 Proxy Season Litigation Primer: Defending Shareholder Suits to Enjoin Annual Meetings for Allegedly Inadequate Disclosures Concerning Equity Compensation Plans Mintz
Mar
20
2014
 SEC (Securities and Exchange Commission) Proposes Enhanced Regulatory Framework for Certain Registered Clearing Agencies Morgan, Lewis & Bockius LLP
Mar
20
2014
 Just What Does “Deem” Mean? Re: Legislation Allen Matkins Leck Gamble Mallory & Natsis LLP
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