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
3
2014
 FINRA (Financial Industry Regulatory Authority) Issues Annual Regulatory and Examination Priorities Letter for 2014 Katten
Jan
3
2014
 Agencies Appear to Signal Retreat on Collateralized Debt Obligations (CDOs) backed by Trust Preferred Securities (TruPS) Issue Katten
Jan
1
2014
 CalPERS’ Offbeat Personal Trading Policy Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
30
2013
 SEC (Securities and Exchange Commission) Reportedly Investigating CalPERS’ Stock Trades Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
25
2013
 And on the 12th Day of Privacy, Something for Directors…..Mind the Gap! Re: Cyber Risks Mintz
Dec
24
2013
 Exempt Reporting Advisers: Are You Still Exempt? Neal, Gerber & Eisenberg LLP
Dec
23
2013
 Financial Services Legislative and Regulatory Update - December 23, 2013 Mintz
Dec
23
2013
 National Futures Association (NFA) Notifies Members of FinCEN Advisory Katten
Dec
22
2013
 SEC Announces Enforcement Results for 2013 Katten
Dec
22
2013
 Securities and Exchange Commission (SEC) Proposes Rules for “Regulation A+” Offerings Katten
Dec
21
2013
 New Tools for Raising Capital at Community Bank Holding Companies: General Solicitation and Crowdfunding Godfrey & Kahn S.C.
Dec
20
2013
 Securities and Exchange Commission (SEC) Issues Guidance on General Solicitation and Rule 506 Bad Actor Rules Hunton Andrews Kurth
Dec
19
2013
 SEC’s (Securities and Exchange Commission) Proposed Rules on “Regulation A-Plus” Indicate a Streamlined Vehicle for Raising up to $50 Million in Capital Armstrong Teasdale
Dec
19
2013
 NASDAQ Amends Compensation Committee Independence Requirements Hunton Andrews Kurth
Dec
18
2013
 Considerations for 2014 Proxy Season and Beyond Sheppard, Mullin, Richter & Hampton LLP
Dec
18
2013
 “Wherever You Go, There You Are”, But Will You Be In The Proper County? - California General Corporation Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
18
2013
 IRS Issues Notice on Expanded In-Plan Roth Conversion Option Morgan, Lewis & Bockius LLP
Dec
17
2013
 Bad Actor Disqualification And Just How Do You Know Whether A Violation is Scienter-Based? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
17
2013
 Did The SEC Make A Mistake? I Think Not. Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
16
2013
 Supreme Court Takes Case About Company Stock Funds and Presumption of Prudence McDermott Will & Emery
Dec
15
2013
 Five Agencies Issue Final Volcker Implementation Rules; Small Banks Win Exemptions Katten
Dec
14
2013
 Concurrent Resolution of Foreign Corrupt Practices Act (FCPA), Export Controls and Sanctions Violations Demonstrates Close Cooperation of Federal Agencies Katten
Dec
13
2013
 On the Fifth Day of Privacy, the SEC Gave to Me…..Re: Cybersecurity Risks and Data Breaches Mintz
Dec
13
2013
 Securities and Exchange Commission (SEC) Issues Guidance on “Bad Actor” Rules Faegre Drinker
Dec
12
2013
 SEC (Securities Exchange Commission) Charges Money Market Fund Adviser and Portfolio Manager with Violations of the Federal Securities Laws Vedder Price
Dec
12
2013
 Securities and Exchange Commission (SEC) Sanctions Three Investment Advisory Firms for Violating Custody Rule Vedder Price
Dec
10
2013
 Aircraft Securitizations and the Proposed Rules for Credit Risk Retention Vedder Price
Dec
9
2013
 Division of Investment Management Issues Guidance Regarding Electronic Delivery of Shareholder Notices of the Sources of Fund Distributions Vedder Price
Dec
9
2013
 “Kid, Did You Ever Go To Court?” Re: Securities Compliance & Disclosure Interpretation Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
9
2013
 Division of Investment Management Issues Guidance Regarding Fund Names That Suggest Protection from Loss Vedder Price
Dec
9
2013
 Financial Services Legislative and Regulatory Law Update Mintz
Dec
8
2013
 Trade Associations File Lawsuit Over CFTC’s (Commodity Futures Trading Commission's) Cross-Border Guidance Katten
Dec
8
2013
 FINRA (Financial Industry Regulatory Authority) Issues New Rules on Securities Borrowing, Customer Protection and Callable Securities Katten
Dec
6
2013
 NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence Katten
Dec
6
2013
 SEC Division of Corporation Finance Issues 14 New Compliance and Disclosure Interpretations (C&DIs) Relating to “Bad Actor” Rules Katten
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