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
May
31
2013
 Commodity Futures Trading Commission (CFTC) Issues Final Trade Execution Rules Katten
May
31
2013
 Privacy Regulators Take to the Web in Search of Deficient Privacy Policies Poyner Spruill LLP
May
30
2013
 First Circuit Court Holds Aiding And Abetting Liability Requires Material Assistance In The Violation Allen Matkins Leck Gamble Mallory & Natsis LLP
May
29
2013
 Closely Held Tech Company Buyer Values Twitter at $10 Billion McBrayer, McGinnis, Leslie and Kirkland, PLLC
May
29
2013
 Master Limited Partnership (MLP) Private Letter Rulings Issued in 2013 – A Busy Start to the Year! Bracewell LLP
May
28
2013
 Financial Services Legislative and Regulatory Update - May 24, 2013 Mintz
May
24
2013
 Second Circuit Holds that Allegations of Direct Fraudulent Representations Are Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
May
24
2013
 Conflict Minerals Update: The Courts, Congress, Canada and EU Consultations Beveridge & Diamond PC
May
23
2013
 IRS Issues Final Regulations on Deemed Asset Sale Elections Under Treasury Code Section 336(e) Greenberg Traurig, LLP
May
22
2013
 N.Y. Administrative Law Judge (ALJ) Holds Taxpayer’s Motives for Acquiring Stock and How Stock Is Used Irrelevant in Determining Investment Capital McDermott Will & Emery
May
21
2013
 Senator Leahy’s EB-5 Amendment Added to Comprehensive Immigration Reform Bill Sheppard, Mullin, Richter & Hampton LLP
May
19
2013
 SEC Warns About Exemptive Order Compliance Morgan, Lewis & Bockius LLP
May
19
2013
 Office of the Comptroller of the Currency (OCC) Issues Clarification of the Treatment of Certain Sovereign and Securitization Positions Katten
May
19
2013
 The Jobs Act: Improving Access to Capital Markets for Smaller Companies Greenberg Traurig, LLP
May
19
2013
 Fair Disclosure and Social Media Faegre Drinker
May
18
2013
 SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Katten
May
17
2013
 Distribution Payments in “Guise”: An SEC Examination Priority Faegre Drinker
May
16
2013
 But Wait, California May Require Even More In Annual Reports To Shareholders Allen Matkins Leck Gamble Mallory & Natsis LLP
May
15
2013
 Supreme Court To Decide If It Will Decide Whether Securities Exchange Act Section 16 Plaintiff Has Constitutional Standing Allen Matkins Leck Gamble Mallory & Natsis LLP
May
14
2013
 California Requires Many Foreign Corporations To Send Annual Financial Statements To Shareholders Allen Matkins Leck Gamble Mallory & Natsis LLP
May
13
2013
 Financial Services Legislative and Regulatory Update - May 13, 2013 Mintz
May
13
2013
 Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firms Sheppard, Mullin, Richter & Hampton LLP
May
12
2013
 Securities and Exchange Commission (SEC) Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Katten
May
12
2013
 SEC Settles Suit for Misleading Advisory Contract Approval Disclosure Morgan, Lewis & Bockius LLP
May
11
2013
 SEC to Return Escrowed EB-5 Investment Funds to Immigrant Investors of Intercontinental Regional Center Trust of Chicago Sheppard, Mullin, Richter & Hampton LLP
May
11
2013
 How to Minimize Foreign Corrupt Practices Act (FCPA) Risk in Health Care Acquisitions Mintz
May
11
2013
 U.S. Citizenship and Immigration Services (USCIS) EB-5 Engagement with Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
May
10
2013
 Whistleblower’s Claims Against Former Employer Survive Summary Judgment Katten
May
10
2013
 SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute Katten
May
10
2013
 The Legal Challenge to the SEC’s Conflict Minerals Reporting Regulations Dickinson Wright PLLC
May
10
2013
 An Exemption For Foreign Subsidiary Formation Under California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
May
9
2013
 Noncompliance with Continuing Disclosure Undertakings Creates Vacuum Where Other Public Statements by City Officials Held to 10b-5 Standard Hunton Andrews Kurth
May
5
2013
 Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities Katten
May
4
2013
 Delaware Federal Court Dismisses Securities Fraud Action Against Power Plant Executives Katten
May
3
2013
 Gaming Company's Regulatory Delays Insufficient to Give Rise to a Securities Fraud Claim Katten
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