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
Jul
19
2013
 SEC Adopts Long-Awaited Final Rule Removing Ban on General Solicitation in Rule 506 Private Offerings Dickinson Wright PLLC
Jul
19
2013
 Commodity Futures Trading Commission (CFTC) Seeks Public Comment on Wash Trade Advisory Katten
Jul
19
2013
 Department of Labor (DOL) Clarifies Revenue Sharing Fiduciary Responsibility Issues Morgan, Lewis & Bockius LLP
Jul
19
2013
 Federal Energy Regulatory Commission (FERC) Orders $435 Million Civil Penalty to Barclays Bank and $1-15 Million to Four Traders ArentFox Schiff LLP
Jul
18
2013
 Avoid an International Conflict of Laws: Court-Ordered Customer Consent Mintz
Jul
18
2013
 SEC Provides Relief for Familiarization Activities of Foreign Options Markets Morgan, Lewis & Bockius LLP
Jul
17
2013
 Securities and Exchange Commission (SEC) Issues New Relief for Self-Indexing Exchange Traded Funds (ETFs) Morgan, Lewis & Bockius LLP
Jul
17
2013
 Securities and Exchange Commission (SEC) Lifts Ban on Advertising for Private Investment Funds Vedder Price
Jul
17
2013
 Financial Services Legislative and Regulatory Update - July 15, 2013 Mintz
Jul
16
2013
 SEC Issues Guidance Regarding Compliance with Exemptive Orders Godfrey & Kahn S.C.
Jul
16
2013
 Second Circuit Rejects the Application of American Pipe's Tolling Rule and Rule 15(c)'s "Relation Back" Doctrine to the Three-Year Statute of Repose for Section 11 and 12(a) Claims Sheppard, Mullin, Richter & Hampton LLP
Jul
16
2013
 Securities and Exchange Commission (SEC) Releases Money Market Fund Reform Proposals Godfrey & Kahn S.C.
Jul
16
2013
 SEC Settles Enforcement Action with Morgan Keegan Directors Regarding Fair Valuation Godfrey & Kahn S.C.
Jul
16
2013
 Securities and Exchange Commission (SEC) Adopts and Proposes New Rules, Including Easing the Prohibition on General Solicitation Katten
Jul
16
2013
 SEC Settles Enforcement Action with Trustees Regarding Investment Advisory Contract Approvals and Renewals Godfrey & Kahn S.C.
Jul
16
2013
 Commodity Futures Trading Commission (CFTC) Grants No-Action Relief to Swap Dealers and Major Swap Participants Regarding Relationship Documentation and Business Conduct Katten
Jul
16
2013
 D.C. District Court Vacates SEC’s Resource Extraction Issuer Rule Katten
Jul
16
2013
 Securities and Exchange Commission (SEC) Removes Prohibition on General Solicitation for Certain Private Offerings to Accredited Investors Godfrey & Kahn S.C.
Jul
16
2013
 SEC Adopts JOBS Act Rules and Issues Additional Final and Proposed Rules Related to Regulation D Offerings Faegre Drinker
Jul
16
2013
 Pay-to-Play: Securities and Exchange Commission (SEC) Settles Enforcement Action Godfrey & Kahn S.C.
Jul
16
2013
 Commodity Futures Trading Commission (CFTC) Expands No-Action Relief Granted to Foreign Boards of Trade (FBOT)s Katten
Jul
15
2013
 Identity Theft Red Flags Rules Godfrey & Kahn S.C.
Jul
15
2013
 SEC Announces Three New Anti-Fraud Enforcement Initiatives Katten
Jul
15
2013
 New Securities and Exchange Commission (SEC) Commissioners Nominated Godfrey & Kahn S.C.
Jul
15
2013
 Commodity Futures Trading Commission (CFTC) Grants No Action Relief to EU Swap Dealers from Swap Documentation Rules Katten
Jul
15
2013
 The Most Important Thing You Need To Know Now About The Lifting Of The General Solicitation Ban Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
14
2013
 What the SEC’s Elimination of the Prohibition on General Solicitation for Rule 506 Offerings Means to the EB-5 Community Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2013
 Investment Services Regulatory Update - July 2013 Vedder Price
Jul
13
2013
 SEC Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings – Will Significantly Affect Permissible EB-5 Marketing Practices Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2013
 SEC Eliminates the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings Sheppard, Mullin, Richter & Hampton LLP
Jul
12
2013
 SEC Lifts Ban on General Solicitation Barnes & Thornburg LLP
Jul
12
2013
 Securities and Exchange Commission (SEC) Lifts Advertising Ban on Private Offerings: What It Means for Private Equity, Hedge and Venture Capital Funds Mintz
Jul
12
2013
 Securities and Exchange Commission (SEC) Liberalizes Restrictions on Advertisements of Most EB-5 Projects Greenberg Traurig, LLP
Jul
11
2013
 Securities and Exchange Commission (SEC) Lifts Ban on General Solicitation in Certain Private Securities Transactions; Disqualifies 'Bad Actors' from Rule 506 Offerings Greenberg Traurig, LLP
Jul
11
2013
 Exclusive Forum Bylaws Upheld By Delaware Court Faegre Drinker
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