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
Sep
13
2013
 Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives Katten
Sep
13
2013
 Emergency Powers And Emergency Bylaws Bill Enacted for Corporations in California Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
13
2013
 Sixth Circuit Affirms Dismissal of Shareholder Class Action Due to Plaintiff’s Failure to Plead Recklessness Katten
Sep
12
2013
 'Skin in the Game' Credit Risk Retention Rules Re-Proposed Greenberg Traurig, LLP
Sep
11
2013
 Update on UK Employee Shareholder Provisions Morgan, Lewis & Bockius LLP
Sep
11
2013
 Rule 144 Opinion Letters – Do They Protect Anyone? Re: Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
11
2013
 Recent Decisions Support More Employee-Friendly Interpretation of Sarbanes-Oxley Act Vedder Price
Sep
11
2013
 Texas Court Departs From Previous Decisions: Investments In Life Settlements Are Securities Faegre Drinker
Sep
10
2013
 New Disclosure Guidance for Non-Traded Real Estate Investment Trusts (REITs) Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Sep
8
2013
 International Group Structures Are Subject to An Ongoing Review for Optimizing Their Tax Position Greenberg Traurig, LLP
Sep
7
2013
 The Foreign Corrupt Practices Act (FCPA) in the News: Big Scoops, Real Fallout Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2013
 Delaware Chancery Court Finds Merger "Entirely Fair" to Common Stockholders Despite the Merger Leaving Common Stockholders With No Consideration for Their Shares Sheppard, Mullin, Richter & Hampton LLP
Sep
4
2013
 Proxy Advisory Firms – What About State Registration? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
4
2013
 Federal Court Dismisses BlackRock Securities Lending Case Faegre Drinker
Sep
3
2013
 Proxy Advisory Firms And Investment Adviser Registration Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
31
2013
 SEC Accuses Investment Adviser of Misrepresenting Its Algorithmic Trading Capacity Katten
Aug
30
2013
 SEC Requires Admission of Wrongdoing as Part of Settlement Katten
Aug
30
2013
 Commodities And The Corporate Securities Law of 1968 (CSL) Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
29
2013
 Argentina's Financial Fate Now Depends on the U.S. Supreme Court Sheppard, Mullin, Richter & Hampton LLP
Aug
28
2013
 Delaware General Corporation Law Amended to Speed Up the Consummation of Two-Step Merger Transactions Sheppard, Mullin, Richter & Hampton LLP
Aug
28
2013
 Securities and Exchange Commission (SEC) Amends Financial Responsibility Rules for Broker-Dealers Morgan, Lewis & Bockius LLP
Aug
28
2013
 Eighth Circuit Applies Negligence Standard to Securities and Exchange Commission (SEC) Enforcement Claims for Violations of Section 14(a) and Rules 14a-9, 13b2-1 and 13b2-2 Sheppard, Mullin, Richter & Hampton LLP
Aug
27
2013
 Private Equity Fund May Be “Trade or Business” Under Employee Retirement Income Security Act (ERISA) Morgan, Lewis & Bockius LLP
Aug
26
2013
 Securities Exchange Commission (SEC) Approves Amendments to Financial Industry Regulatory Authority (FINRA) Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information Katten
Aug
26
2013
 Securities and Exchange Commission's (SEC) Alleged Failure to Notify Securities Investor Protection Corporation (SIPC) of Ponzi Scheme Does Not Create Liability Katten
Aug
24
2013
 CalPERS Releases California “Investment” Report Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
24
2013
 Securities Exchange Commission (SEC), Commodity Futures Trading Comission (CFTC) and Financial Industry Regulatory Authority (FINRA) Issue Joint Advisory on Business Continuity and Disaster Recovery Planning Katten
Aug
23
2013
 New Guidance on Continuing Disclosure Obligations for Bond Issuers Faegre Drinker
Aug
23
2013
 Commodity Futures Trading Commission (CFTC) Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also Adopts Changes Applicable to All CPOs Katten
Aug
22
2013
 Potential Challenges Associated With California's Revised Uniform Limited Liability Company Act Scheduled to Take Effect on January 1, 2014 Sheppard, Mullin, Richter & Hampton LLP
Aug
22
2013
 Is A Popularity Contest The Best Way To Pick A Proxy Advisor? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
22
2013
 Key Considerations For Family Enterprises Exiting Direct Investments McDermott Will & Emery
Aug
22
2013
 Mexican Government to Consider Overhaul of Energy Sector Morgan, Lewis & Bockius LLP
Aug
21
2013
 Loss Causation And Stichomythia: A Dramatization of Ninth Circuit's Leave to Amend Complaint Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
21
2013
 Commodity Futures Trading Commission (CFTC) Harmonizes Compliance Obligations for Commodity Pool Operators of Registered Investment Companies Faegre Drinker
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