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
Oct
25
2013
 SEC Proposes New Rules for Crowdfunding Exemption Katten
Oct
25
2013
 Implications of the Elimination of the Restriction on General Solicitation for Cross-Border Equity Offerings Under Rule 144A by Foreign Private Issuers Greenberg Traurig, LLP
Oct
25
2013
 Second Circuit Applies Morrison to Criminal Prosecution Under Section 10(b) and Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Oct
25
2013
 Investment Management Legal and Regulatory Update - October 2013 Godfrey & Kahn S.C.
Oct
24
2013
 There May Be Fifty Ways To Leave Your Lover, But In Nevada There Are Four Ways To Change A Corporation Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
23
2013
 Does SEC Independence Mean A Lack Of Accountability? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
23
2013
 Third Circuit Joins With the Seventh, Ninth and Eleventh Circuits in Holding That Plaintiffs Asserting 1933 Act Claims Need Not Plead Compliance With the Statute of Limitations, Splitting With the First, Eighth and Tenth Circuits Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2013
 Tenth Circuit Finds that Jury Must Determine Whether “Notes Are Securities” in a Securities Fraud Action Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2013
 Second Circuit Clarifies Scope of Securities Litigation Uniform Standards Act of 1998 (SLUSA) Preclusion Sheppard, Mullin, Richter & Hampton LLP
Oct
21
2013
 Financial Services Legislative and Regulatory Law Update - October 21, 2013 Mintz
Oct
19
2013
 The Crime That Knows No Definition Re: Insider Trading Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
19
2013
 SEC Scores in Accounting Fraud Suit Against BankAtlantic Corp. and Former CEO Katten
Oct
19
2013
 Temporary Exemption from Certain SEC Financial Responsibility Rules Amendments Morgan, Lewis & Bockius LLP
Oct
18
2013
 SEC Chair Speaks on Public Company Disclosure Katten
Oct
17
2013
 Public Investors Arbitration Bar Association (PIABA) Calls Press Conference to Pressure for Further Restrictions on Broker Expungement Greenberg Traurig, LLP
Oct
17
2013
 Are Misstatements In A Form 10-K Actionable By The California Attorney General? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
16
2013
 "Bad Boy" Associates Can Now Disqualify Your Securities Act 506 Exemption Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Oct
16
2013
 Questions About Third-Party Confirmations Of Accredited Investor Status Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
16
2013
 Paving the Way for More Tender Offers: DGCL 251(h) Streamlines Two-Step Merger Process McDermott Will & Emery
Oct
16
2013
 Financial Industry Regulatory Authority (FINRA) Tells Arbitrators it Considers Expungement Relief ‘Extraordinary’ Greenberg Traurig, LLP
Oct
16
2013
 Perils of Using Unregistered Finders in Securities Transactions Neal, Gerber & Eisenberg LLP
Oct
15
2013
 Must Suits/Actions To Enforce Section 25401 Be Brought In The Federal Courts? Re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2013
 Should There Be “Bad Actor” Risk Factor? Re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
14
2013
 Financial Services Legislative and Regulatory Update - October 14, 2013 Mintz
Oct
14
2013
 Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer Katten
Oct
13
2013
 SEC Launches Public Website for Analyzing Exchange Data Katten
Oct
12
2013
 Government Publishes Study of Systemic Risks in Asset Management Katten
Oct
11
2013
 New York Stock Exchange Proposes New Rules to Harmonize Quantitative Continued Listing Standards and Modify Reverse Merger Listing Requirements Katten
Oct
11
2013
 Merger Paying Common Shareholders $0 Found To Be Entirely Fair Faegre Drinker
Oct
11
2013
 New SEC Rule Helps Entrepreneurs Raise Capital Greenberg Traurig, LLP
Oct
11
2013
 Shanghai Pilot Free Trade Zone (PFTZ) Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2013
 Securities and Exchange Commission (SEC) Proposes Pay Ratio Disclosure Rule Hunton Andrews Kurth
Oct
10
2013
 Second Circuit Affirms Dismissal of Class Action Against ProShares Exchange-Traded Funds (ETFs) Vedder Price
Oct
10
2013
 Penalty for Head of Investor Relations – $50,000, Penalty for Company – $0, Regulation Fair Disclosure Compliance Program – Priceless Faegre Drinker
Oct
10
2013
 Securities and Exchange Commission (SEC) Charges Investment Adviser for Misleading Fund Board During 15(c) Process Vedder Price
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