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
Jan
24
2014
 Delaware Bankruptcy Court Limits Ability of Purchaser of Secured Claim to Credit Bid Barnes & Thornburg LLP
Jan
24
2014
 Angel Investor Tax Credit Program Would Be Godsend to Kentucky Businesses McBrayer, McGinnis, Leslie and Kirkland, PLLC
Jan
23
2014
 Legislation Allows Michigan Companies to Raise Capital, Avoid Federal Crowdfunding Rules Varnum LLP
Jan
22
2014
 Just Who Is Behind The Universal Proxy? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
20
2014
 Securities and Exchange Commission (SEC) Highlights 2013 Accomplishments and Outlines 2014 Enforcement Priorities Barnes & Thornburg LLP
Jan
20
2014
 FINRA (Financial Industry Regulatory Authority) Examiners to Focus on Brokers with Histories of Discipline Barnes & Thornburg LLP
Jan
20
2014
 SEC Proposes Revised Rules for Regulation A Exemption Permitting Securities Offerings up to $50 Million Womble Bond Dickinson (US) LLP
Jan
20
2014
 Let the Light of Day Shine Re: SEC (Securities and Exchange Commission) Insider Trading Case Barnes & Thornburg LLP
Jan
20
2014
 The Dodd-Frank Act and Municipal Advisor Rules Dickinson Wright PLLC
Jan
20
2014
 Agencies Retreat on Trust Preferred Securities (TruPS CDOs) Katten
Jan
19
2014
 California Court of Appeal Clarifies Rights of Dissenting Minority Shareholders Under California Corporation Code § 1312(b) Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2014
 Commodity Futures Trading Commission (CFTC) Issues No-Action Relief to Futures Commission Merchants (FCM) Relating to Enhanced Customer Protection Rules Katten
Jan
19
2014
 To 8-K, or not to 8-K? For Target, that is indeed the question. Mintz
Jan
18
2014
 Absence Of Stock Legend Does Not Relieve Broker Of Duty Of Inquiry Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
17
2014
 SEC (Securities and Exchange Commission) Announces 2014 Examination Priorities for Investment Advisers Sheppard, Mullin, Richter & Hampton LLP
Jan
17
2014
 Revised Hart-Scott-Rodino Premerger Notification Thresholds for 2014 Greenberg Traurig, LLP
Jan
16
2014
 Community Bank TruPS CDOs Exempted from the Volcker Rule Re: Trust Preferred Securities and Collateralized Debt Obligation Morgan, Lewis & Bockius LLP
Jan
16
2014
 U.S. District Court in Atlanta Rules against the SEC in an Insider Trading Case, Describing the SEC's Evidence as 'Overreaching' and 'Self-Serving' Greenberg Traurig, LLP
Jan
16
2014
 NASDAQ Amends Compensation Committee Independence Rules Morgan, Lewis & Bockius LLP
Jan
16
2014
 Government Regulators Continue to Make Insider Trading a Trial Priority (With Mixed Success) Barnes & Thornburg LLP
Jan
14
2014
 Financial Services Legislative and Regulatory Update - January 13, 2014 Mintz
Jan
14
2014
 The Volcker Rule . . . Finally. Greenberg Traurig, LLP
Jan
14
2014
 40% Is Less Than A Majority But Can It Be “Control”? Re: California Corporate Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
13
2014
 California Franchise Tax Board (FTB) Unable to Assess Enhanced Promoter Penalties Prior to 2004 Greenberg Traurig, LLP
Jan
12
2014
 SEC Division of Corporation Finance Issues Five Additional Compliance and Disclosure Interpretations (C&DI) Relating to “Bad Actor” Rule Katten
Jan
12
2014
 Lawmakers Introduce Legislation to Resolve CDO-TruPS (Collateralized Debt Obligation-Trust Preferred Securities) Controversy Katten
Jan
11
2014
 Judges Raise Concerns Regarding SEC (Securities and Exchange Commission) Conflict Minerals Rule at Appeal Hearing Katten
Jan
10
2014
 National Futures Association (NFA) Implements Additional Reporting Requirements for Certain FCMs (Futures Commission Merchants) Katten
Jan
10
2014
 ArthroCare to Pay $30 Million Fine to Settle Department of Justice (DOJ) Probe Katten
Jan
10
2014
 Alcoa Subsidiary Pleads Guilty to Foreign Corrupt Practices Act (FCPA) Charge, Will Pay $348 Million Katten
Jan
9
2014
 SEC (Securities and Exchange Commission) Adopts Rule and Form Amendments to Remove Credit Rating References Vedder Price
Jan
9
2014
 Finders Bill Finds Some Forward Transaction Re: California Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
7
2014
 Private Equity Investors Demand More: More Insurance, That Is Mintz
Jan
6
2014
 Commodity Futures Trading Commision (CFTC) Issues No-Action Relief Regarding Annual Reports by Chief Compliance Officers Katten
Jan
6
2014
 Social Media for Financial Institutions – Final Guidance Mintz
Subscribe to Securities SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins