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.

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Sep
30
2013
 Ninth Circuit Holds that a Properly Structured Voluntary Rental Program Offering Does Not Convert Hotel Condominium Units into Securities Greenberg Traurig, LLP
Sep
28
2013
 Ninth Circuit Rejects Securities Fraud Suit for Failure to Demonstrate Loss Causation Katten
Sep
27
2013
 Commodity Futures Trading Commission (CFTC) Grants CPOs No-Action Relief from Certain Reporting Obligations Faegre Drinker
Sep
27
2013
 Securities and Exchange Commission (SEC) Adopts Municipal Advisor Registration Requirements Katten
Sep
26
2013
 Involuntary Stock Exchange Listings, Affiliated Issuers And Produce Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
26
2013
 SEC Adopts Rule Disqualifying Bad Actors from Participation in Rule 506 Offerings Poyner Spruill LLP
Sep
26
2013
 Differing Perspectives On The SEC’s Proposed CEO Pay Ratio Rule And Who Speaks For CalPERS? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
25
2013
 Securities and Exchange Commission (SEC) Proposes Rule on Required CEO Pay Ratio Disclosure Morgan, Lewis & Bockius LLP
Sep
24
2013
 California Creates Complete Chaos By Rewriting Anti-Fraud Statute, But “We Are Against Fraud Aren’t We?” Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
24
2013
 Fundraising by Private Companies: SEC Lifts Ban on General Solicitation Varnum LLP
Sep
24
2013
 Disqualification of “Bad Actors” from Rule 506 Offerings Neal, Gerber & Eisenberg LLP
Sep
24
2013
 At Long Last: Securities and Exchange Commission (SEC) Proposes New Rules to Compel Disclosure of CEO Pay as Ratio to Median Employee Pay Sheppard, Mullin, Richter & Hampton LLP
Sep
23
2013
 Financial Services Legislative and Regulatory Update - September 23, 2013 Mintz
Sep
23
2013
 Can The California Department of Business Oversight (DBO) Incorporate By Reference A Federal Form? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
23
2013
 Securities and Exchange Commission (SEC) Issues Risk Alert on Short Selling in Connection with a Public Offering Katten
Sep
22
2013
 Securities and Exchange Commission (SEC) Proposes Disclosure of Difference Between CEO and Worker Pay Barnes & Thornburg LLP
Sep
22
2013
 Second Circuit Affirms Judgment that Securities Litigation Uniform Standards Act (SLUSA) Precludes Madoff-Related Claims Katten
Sep
20
2013
 Commodity Futures Trading Commission (CTFC) Seeks Comments on Amended Exchange for Related Position (EFRP) Rule Katten
Sep
20
2013
 This Picture Is Worth 471 Words (More or Less) Re: SEC Solicitation Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
20
2013
 Securities and Exchange Commission's (SEC) New Regulation D Rules Become Effective September 23, 2013 von Briesen & Roper, s.c.
Sep
20
2013
 Securities and Exchange Commission (SEC) Proposes Rule Regarding Disclosure of CEO-to-Worker Pay Ratio Katten
Sep
20
2013
 Securities Exchange Commission (SEC) Proposes Rules for Pay Ratio Disclosures ArentFox Schiff LLP
Sep
20
2013
 Financial Industry Regulatory Authority (FINRA) Raises the Bar on Due Diligence by Broker Dealers Involved in EB-5 Sheppard, Mullin, Richter & Hampton LLP
Sep
20
2013
 “Patent Assertion and Startup Innovation": Some Sensible Ideas Schwegman, Lundberg & Woessner, P.A.
Sep
20
2013
 Important Information for Managers with Reg D Offerings Faegre Drinker
Sep
19
2013
 Just What Does CalPERS Believe Anyway? Re: “Investment Beliefs” Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
18
2013
 Financial Industry Regulatory Authority (FINRA) Provides Guidance on Immigration Due Diligence to Broker-Dealers in EB-5 Offerings Mintz
Sep
18
2013
 Equity Contribution Requirements Dropping in Large-Market Buyouts McBrayer, McGinnis, Leslie and Kirkland, PLLC
Sep
17
2013
 Financial Industry Regulatory Authority (FINRA) Provides Guidance on the Applicability of the Suitability Rule to Broker-Dealers Marketing Private Placements in the EB-5 Context Mintz
Sep
17
2013
 Some Pearls From Commissioners of Corporations Past Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
16
2013
 Congress Wants To Ban Felons While California Doesn’t Want To Ask Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
16
2013
 Financial Services Legislative and Regulatory Update - September 16, 2013 Mintz
Sep
16
2013
 SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule 204 of Regulation SHO Katten
Sep
14
2013
 Commodity Futures Trading Commission (CFTC) Grants Relief to CPOs Trading Through Subsidiaries Katten
Sep
14
2013
 Former Head of Investor Relations Penalized by SEC for Selectively Disclosing Material Nonpublic Information, While Self-Disclosing Company Escapes Charges Katten
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