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
11
2013
 Securities and Exchange Commission (SEC) Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings Sheppard, Mullin, Richter & Hampton LLP
Jul
11
2013
 Securities and Exchange Commission (SEC) Sanctions Revlon Financial Makeover; Tips for Setting a Strong Foundation for Going Private Transaction Success Faegre Drinker
Jul
10
2013
 Morgan Keegan Directors Settle Securities and Exchange Commission (SEC) Charges Faegre Drinker
Jul
10
2013
 The Politics Of Securities Enforcement Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
10
2013
 Securities and Exchange Commission (SEC) Proposed Money Market Reform: An Analysis of Fund Director Responsibilities Faegre Drinker
Jul
10
2013
 SEC to Take Up Long Delayed JOBS Act (Jumpstart Our Business Startups Act) Greenberg Traurig, LLP
Jul
9
2013
 D.C. District Court Vacates Dodd-Frank Disclosure Rule for Payments by Resource Extraction Issuers Hunton Andrews Kurth
Jul
9
2013
 When a Non-Binding Term Sheet Becomes Binding Mintz
Jul
8
2013
 The Consumer Financial Protection Bureau (CFPB), Week in Review: June 17 - June 21, 2013 Greenberg Traurig, LLP
Jul
8
2013
 Court Rejects Securities and Exchange Commission (SEC)’s Interpretation That All Exchange Act Reports Are Public Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
8
2013
 U.S. District Court Vacates SEC Rule on Extractive Industries Disclosure Requirements; Issuers Await Decision on Conflict Minerals Rule Greenberg Traurig, LLP
Jul
7
2013
 Hart-Scott-Rodino (HSR) Rules on Automatic Withdrawal of Filings Re: Trade McDermott Will & Emery
Jul
7
2013
 Barry Diller to Pay $480,000 Fine for Failure to File Hart-Scott-Rodino Notification Re: Trade and Securities McDermott Will & Emery
Jul
6
2013
 Priority of Ownership and Security Interests in a Repossession Scenario Vedder Price
Jul
5
2013
 California Securities Law Takes Pity on Inter Vivos Trusts Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
5
2013
 Second Circuit Affirms Dismissal of Suits Brought by Madoff Trustee Against Banks Accused of Aiding Madoff Fraud Sheppard, Mullin, Richter & Hampton LLP
Jul
3
2013
 Compliance with the SEC's Conflict Minerals Rule Greenberg Traurig, LLP
Jul
1
2013
 Financial Services Legislative and Regulatory Update - Week of July 1, 2013 Mintz
Jul
1
2013
 Second Circuit Affirms Dismissal of Madoff Trustee’s Common Law Claims Katten
Jun
30
2013
 Still Banned: General Solicitation in Rule 506 Offerings Re: Securities Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2013
 District Court Dismisses Class Action Suit Under Federal Tort Claims Act (FTCA) Against Securities Exchange Commission (SEC) Katten
Jun
29
2013
 Second Circuit Reaffirms Continued Use of the "Knowing Possession" Causation Standard in Rajaratnam Insider Trading Case Sheppard, Mullin, Richter & Hampton LLP
Jun
28
2013
 Forum Selection Bylaws – Why A California Court May Not Follow Delaware Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
26
2013
 Alternative Investment Fund Managers Directive (AIFMD): More Than Just a Box Ticking Exercise McDermott Will & Emery
Jun
25
2013
 Affiliating with a Broker-Dealer Sheppard, Mullin, Richter & Hampton LLP
Jun
24
2013
 Financial Services Legislative and Regulatory Update - Week of June 24, 2013 Mintz
Jun
23
2013
 Chicago Mercantile Exchange (CME) Group Introduces Self-Match Prevention Katten
Jun
23
2013
 $720,000 Civil Penalty for Failure to File Hart-Scott-Rodino (HSR) McDermott Will & Emery
Jun
23
2013
 Delaware Court of Chancery Appoints Receiver to Ensure Stockholders’ Meeting Katten
Jun
22
2013
 Fifth Circuit Holds That Securities Fraud Defendants May Not Rebut the Fraud-on-the-Market Presumption at the Class Certification Stage Through Evidence of No Price Impact Sheppard, Mullin, Richter & Hampton LLP
Jun
22
2013
 Did The FBI Violate The California Securities Laws (CSL)? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
20
2013
 Client Secrets Must Be Kept Even When Not Privileged Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
20
2013
 Securities and Exchange Commission (SEC) Provides Guidance on Dodd-Frank Conflict Minerals Rule Hunton Andrews Kurth
Jun
19
2013
 Private Equity Firms: Potential Broker-Dealer Issues Faegre Drinker
Jun
19
2013
 Does A Securities and Exchange Commission (SEC) Attorney Commit An Ethical Violation By Encouraging Whistleblowing Lawyers? Allen Matkins Leck Gamble Mallory & Natsis LLP
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