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
Aug
2
2013
 Third Circuit Holds that District Court Improperly Excluded Expert Testimony in Securities Fraud Case Katten
Aug
2
2013
 Advertising Securities As Safe – A “No, No” In California Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
1
2013
 Advertising Securities With Celebrity Endorsers Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
1
2013
 Securities and Exchange Commission (SEC) Fraud Charges Against School District Demonstrate Increased Focus on Disclosure Compliance by Municipal Issuers Bracewell LLP
Jul
31
2013
 With General Solicitations Soon To Be Permitted, It’s Time To Recall The Commissioner’s Advertising Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
31
2013
 Securities and Exchange Commission (SEC) Eliminates General Solicitation Ban and Implements Bad Actor Disqualification Rules for Certain Private Offerings Vedder Price
Jul
31
2013
 SEC Issues Final Rules Eliminating Prohibition on General Solicitation of Regulation D Offerings and Implementing Bar on Regulation D Exemption for Offerings with Bad Actor Issuers or other Relevant Persons Neal, Gerber & Eisenberg LLP
Jul
31
2013
 The Graton Godzilla Casino Invades San Francisco Bay Dickinson Wright PLLC
Jul
31
2013
 Financial Services Legislative and Regulatory Update - July 29, 2013 Mintz
Jul
31
2013
 Nevada Supreme Court Holds Absolute Privilege Recognized For Auditors That Act As Required By Law Faegre Drinker
Jul
30
2013
 Securities and Exchange Commission (SEC) Lifts Ban on General Solicitations for Certain Private Placements Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
30
2013
 The Securities and Exchange Commission (SEC) Proposes New Rules Addressing General Solicitation In Private Offerings Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
30
2013
 In Largest Known Data Breach Conspiracy, Five Suspects Indicted in New Jersey Faegre Drinker
Jul
30
2013
 Privacy Monday – July 29, 2013 Mintz
Jul
29
2013
 China Securities Regulatory Commission (CSRC) Became Sole Regulator of Private Equity (PE) Industry Sheppard, Mullin, Richter & Hampton LLP
Jul
26
2013
 Order for Insider Trader to Pay $10.2 Million in Restitution to Morgan Stanley Affirmed Katten
Jul
26
2013
 Mandatory Clearing of iTraxx Credit Default Swap (CDS) Indices for Category 2 Entities Began July 25 Katten
Jul
26
2013
 District Court Rejects Challenge to SEC Conflict Minerals Rule Katten
Jul
26
2013
 Securities Exchange Commission's (SEC) New General Solicitation Rules Are Here Michael Best & Friedrich LLP
Jul
26
2013
 A View of the Bridge: Mergers and Acquisitions (M&A) Bridge Loans Explained McDermott Will & Emery
Jul
25
2013
 Federal Judge Rejects Challenges to SEC Conflict Minerals Rule Beveridge & Diamond PC
Jul
25
2013
 D.C. District Court Upholds SEC's Conflict Minerals Rules, Government Accountability Office (GAO) Report Questions Effectiveness on Humanitarian Efforts Greenberg Traurig, LLP
Jul
25
2013
 Commodity Futures Trading Commission (CFTC) Exercises Disruptive Trading Authority for the First Time Bracewell LLP
Jul
25
2013
 How to Exclude Gain on the Sale of Qualified Small Business Stock! [AUDIO] Odin, Feldman & Pittleman, P.C.
Jul
25
2013
 Alternative Investment Fund Managers Directive's (AIFMD) Impact on Non-EU Managers of Non-EU Alternative Investment Funds Morgan, Lewis & Bockius LLP
Jul
24
2013
 The Securities Exchange Commission (SEC) New General Solicitation Rules Are Here Michael Best & Friedrich LLP
Jul
24
2013
 SEC Adopts Final Rule Lifting Ban On General Solicitation Giordano, Halleran & Ciesla, P.C.
Jul
24
2013
 Securities and Exchange Commission (SEC) Adopts Rules Eliminating the Prohibition on General Solicitation and General Advertising in Certain Offerings ArentFox Schiff LLP
Jul
23
2013
 Securities and Exchange Commission (SEC) Approves Changes to Private Offering Rules and Adopts New “Bad Actor” Prohibitions; Proposes Additional Changes to Better Monitor Private Offering Market McDermott Will & Emery
Jul
23
2013
 Former ArthroCare CEO and CFO Charged with Securities Fraud, Wire Fraud Mintz
Jul
23
2013
 Securities and Exchange Commission (SEC) Adopts Rules Permitting General Solicitation in Private Offerings Limited to Purchases by Accredited Investors Mintz
Jul
23
2013
 General Solicitation Permitted in Certain Rule 506 and Rule 144A Offerings; “Bad Actors” Disqualified from Rule 506 Offerings; Other Significant Amendments Proposed to Regulation D Hunton Andrews Kurth
Jul
20
2013
 Ninth Circuit Affirms Radical Bunny LLC Managers’ Securities Violations Katten
Jul
19
2013
 Transatlantic Derivatives Consensus: Landmark Step for European Commission/U.S. Cooperation McDermott Will & Emery
Jul
19
2013
 American Immigration Lawyers Association (AILA) Publishes Updated Summary of April 3, 2013, Joint Securities and Exchange Commission (SEC)- U.S. Citizenship and Immigration Services (USCIS) Stakeholder Conference Greenberg Traurig, LLP
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