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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Jun
18
2013
 Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Jun
16
2013
 Securities Class Representative Cannot Object to Bankruptcy Release on Behalf of Class Katten
Jun
16
2013
 Commodity Futures Trading Commission (CFTC) Expands List of Acceptable Legal Entity Identifiers Katten
Jun
15
2013
 Securities and Exchange Commission (SEC) Issues New FAQs on Conflict Minerals Rules McDermott Will & Emery
Jun
15
2013
 “Sophisticated Plaintiff” Found to Be Adequate Class Representative in Securities Litigation Case Katten
Jun
15
2013
 Commodity Futures Trading Commission (CFTC) Delays Effective Date for Clearing Exemption for Swaps Between Affiliates Katten
Jun
14
2013
 Movie Production Loans Result In 27-Year Stay At The Greybar Hotel Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
13
2013
 Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Jun
12
2013
 The Pros and Cons of the EB-5 Regional Center Designation Greenberg Traurig, LLP
Jun
11
2013
 Federal Court Rules That Issuers Face Strict Liability for Erroneous Statements About Legal Compliance in Registration Statements, Even if They Did Not Know the Statements Were False Mintz
Jun
11
2013
 A Rising Voice on Foreign Corrupt Practices Act (FCPA) Compliance: The Court Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2013
 The California Corporate Securities Law (CSL) of 1968 and Implied Rights Of Action Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
10
2013
 Securities and Exchange Commission (SEC) Issues Guidance on Resource Extraction Issuer Rules Morgan, Lewis & Bockius LLP
Jun
10
2013
 Financial Services Legislative and Regulatory Update - Week of June 10, 2013 Mintz
Jun
9
2013
 SEC Money Market Reform Katten
Jun
8
2013
 SEC Issues FAQs on Conflict Minerals and Payments by Resource Extraction Issuers Katten
Jun
8
2013
 SEC Approves Financial Industry Regulatory Authority (FINRA) Rule Change That Requires Reporting Over-The-Counter Equity Transactions Within 10 Seconds Katten
Jun
6
2013
 All Residential Mortgage Backed Securities Cases To Be Assigned To Justice Friedman of the Commercial Division Sheppard, Mullin, Richter & Hampton LLP
Jun
6
2013
 Grand Theft Auto Meets Corruption in Sarbanes-Oxley Act Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2013
 Ninth Circuit Holds Securities Exchange Act Section 10(b) Violations Sufficient For Employee Retirement Income Security Act (ERISA) Breach Of Duty Claims Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2013
 Securities and Exchange Commission (SEC) Staff Issues FAQs on Conflict Minerals Reporting Morgan, Lewis & Bockius LLP
Jun
5
2013
 Investment Services Regulatory Update Vedder Price
Jun
4
2013
 Securities and Exchange Commission (SEC) Issues Guidance on Conflict Minerals and Resource Extraction Rules ArentFox Schiff LLP
Jun
2
2013
 Commodity Futures Trading Commission (CFTC) Issues Interpretive Guidance on Disruptive Trade Practices Katten
Jun
2
2013
 The Power of Plus Factors: Rational Business Behavior Leads to Dismissal of Conspiracy Claim Against Broker-Dealers in Second Circuit Greenberg Traurig, LLP
Jun
2
2013
 SEC Order Against Institutional Shareholder Services Inc. (ISS) Katten
Jun
2
2013
 SEC Approves Financial Industry Regulatory Authority (FINRA) Rule Change That Requires Reporting Over-the-Counter (OTC) Equity Transactions Within 10 Seconds Katten
Jun
1
2013
 California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: Qualified Small Business Stock (QSBS)) Sheppard, Mullin, Richter & Hampton LLP
Jun
1
2013
 Securities and Exchange Commission (SEC) Division of Corporation Finance Issues 13 New and Revised Compliance and Disclosure Interpretations (C&DIs) Katten
Jun
1
2013
 National Futures Association (NFA) Issues Notice to Members Regarding Section 16 Financial Requirements for Cleared Swaps Customer Collateral Katten
Jun
1
2013
 Total Settles Foreign Corrupt Practices Act (FCPA) Bribery Claims for $398M Katten
Jun
1
2013
 European Securities and Markets Authority (ESMA) Approves Cooperation Arrangements for Alternative Funds Morgan, Lewis & Bockius LLP
Jun
1
2013
 European Securities and Markets Authority (ESMA) Approves Co-Operation Agreements With 34 non-European Economic Area (EEA) Jurisdictions Katten
May
31
2013
 Accountant’s Defamatory Report To Audit Committee Held To Be Absolutely Privileged Allen Matkins Leck Gamble Mallory & Natsis LLP
May
31
2013
 Sixth Circuit Lowers Bar for Securities Claims and Creates Circuit Split Katten
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