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
10
2013
 Securities and Exchange Commission (SEC) Finally Proposes Pay Ratio Disclosure Rule Faegre Drinker
Oct
10
2013
 Securities and Exchange Commission (SEC) Sanctions Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer Vedder Price
Oct
10
2013
 District Court Dismisses Complaint Against BlackRock and iShares for Excessive Securities Lending Fees Vedder Price
Oct
10
2013
 Public Company Accounting Oversight Board (PCAOB) Proposes Changes to the Auditor’s Reporting Model Vedder Price
Oct
10
2013
 Securities and Exchange Commission (SEC) Proposes Additional Amendments to Form D, Regulation D and Rule 156 Under the Securities Act Vedder Price
Oct
10
2013
 Complaint Filed Against ING Investments Alleging Excessive Management Fees Vedder Price
Oct
10
2013
 Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations Issues Risk Alert on Advisers' Business Continuity and Disaster Recovery Planning Vedder Price
Oct
9
2013
 Securities and Exchange Commission (SEC) Bad Actor Rules Roil Opinion Practice Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
9
2013
 Securities and Exchange Commission (SEC) Commissioner Gallagher Discusses the Need for Proxy Advisory Service Reform Vedder Price
Oct
9
2013
 Securities and Exchange Commission (SEC) Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section 15(b)(4) and 15(b)(6) of the Exchange Act Katten
Oct
9
2013
 Securities and Exchange Commission (SEC) Adopts Rule Amendments to Disqualify Felons and Other “Bad Actors” from Rule 506 Private Offerings Vedder Price
Oct
9
2013
 Securities and Exchange Commission (SEC) Adopts Rule Amendments to Implement JOBS Act Provisions for the Elimination of Prohibitions Against General Solicitation in Private Offerings Vedder Price
Oct
8
2013
 Division of Investment Management Issues Guidance Regarding Certain Disclosure and Compliance Matters for Funds That Invest in Derivatives Vedder Price
Oct
8
2013
 The Moench Presumption: An Examination of the Third Circuit’s Standard of Prudence in Employer Stock Cases and Its Subsequent Treatment by Circuit Courts McDermott Will & Emery
Oct
8
2013
 Subcommitee Recommends Securities and Exchange Commission (SEC) Rules Imposing Fiduciary And Disclosure Duties On Brokers Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
8
2013
 BlackBerry Buyout Negotiations Continue, Drive Up Stock Price McBrayer, McGinnis, Leslie and Kirkland, PLLC
Oct
8
2013
 Commodity Futures Trading Commission (CFTC) Adopts Harmonization Rules For Commodity Pool Operators (CPOs) to Registered Investment Companies (RICs) and Modifies Regulatory Requirements for All CPOs and CTAs Vedder Price
Oct
7
2013
 Vice Chancellor’s Shareholders Litigation Order Sparks A Wortwechsel In The Blogosphere Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
7
2013
 Financial Services Legislative and Regulatory Update - Week of October 7, 2013 Mintz
Oct
7
2013
 Commodity Futures Trading Commission (CFTC) Staff Responds to FAQs Regarding Commodity Options Katten
Oct
6
2013
 Commodity Futures Trading Commission (CFTC) Staff Issues No-Action Letters Relating to Swap Execution Facilities Katten
Oct
6
2013
 When Directors Are Or Become Bad Actors . . . Re: Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
5
2013
 SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel Katten
Oct
5
2013
 SEC Awards More Than $14 Million to Whistleblower Faegre Drinker
Oct
4
2013
 Financial Industry Regulatory Authority (FINRA) Proposes Rule to Require Alternative Trading Systems to Report Volume Information and Use Unique Market Participant Identifiers Katten
Oct
4
2013
 Securities and Exchange Commission (SEC) Proposes Pay Ratio Rule Womble Bond Dickinson (US) LLP
Oct
4
2013
 Commodity Futures Trading Commission (CFTC) Issues Order Relating to the Continuation, Shutdown and Resumption of Operations Following a Lapse in Appropriations Katten
Oct
4
2013
 Securities and Exchange Commission (SEC) Adopts Final Rules for Municipal Advisors Hunton Andrews Kurth
Oct
3
2013
 Condo Hotels: What's the Reality? Sale of Real Estate or Security -- Ninth Circuit Sheds Some Light Greenberg Traurig, LLP
Oct
3
2013
 Will Issuers Add SEC Rule 506(d) Bad Acts To The Definition Of “Cause”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
2
2013
 Securities and Exchange Commission (SEC) Proposes Pay Ratio Disclosure Rules Michael Best & Friedrich LLP
Oct
2
2013
 If One Bad Actor Spoils The Whole Barrel, What’s An Issuer To Do? Re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
2
2013
 Determining Whether a Potential Investor is a Resident or Non-Resident for Securities Law Purposes Greenberg Traurig, LLP
Oct
1
2013
 Senator Levin Aims Again To Require Private Companies To Report Beneficial Ownership Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
30
2013
 Die Verwandlung: How The California Legislature Likely Raised The Bar On Securities Fraud Actions Allen Matkins Leck Gamble Mallory & Natsis LLP
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