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
3
2013
 The Public Utility Holding Company Act (PUCHA), Chenery & The Run For The Roses Allen Matkins Leck Gamble Mallory & Natsis LLP
May
3
2013
 District Court Grants Motion to Compel Against Securities & Exchange Commission (SEC), Holding that "Facts" Are Not Work Product In SEC Confidential Witness Interviews Sheppard, Mullin, Richter & Hampton LLP
May
2
2013
 No Happy Trails For Victorville Tax Increment Bond Financing Allen Matkins Leck Gamble Mallory & Natsis LLP
May
2
2013
 Practical Discussion Of Issues And Effective Strategies For Internal Investigations Sills Cummis & Gross P.C.
May
1
2013
 The Good Angel Investor (Part 1): Doing the Deal Michael Best & Friedrich LLP
Apr
30
2013
 Top Five Traps for the Unwary in Spin-Offs McDermott Will & Emery
Apr
29
2013
 Financial Services Legislative and Regulatory Update - April 29, 2013 Mintz
Apr
28
2013
 Ninth Circuit Holds Private Company Rules Preempt California Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
28
2013
 The National Securities Markets Improvement Act (NSMIA) Didn't Lay A Preemptive Finger On These Transactions Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
27
2013
 Delaware Supreme Court Upholds Federalism, Comity & Finality Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
27
2013
 National Futures Association (NFA) Amends Commodity Pool Operators and Commodity Trading Advisors (CTA) Quarterly Reporting Requirements Katten
Apr
27
2013
 SEC Announces First Non-Prosecution Agreement Involving Foreign Corrupt Practices Act (FCPA) Violations Faegre Drinker
Apr
26
2013
 Federal Court Sides With Second District Court of Appeals In Privity Split Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
26
2013
 Southern District of New York (SDNY) Imposes Second Highest Penalty Under Foreign Corrupt Practices Act Katten
Apr
26
2013
 Financial Industry Regulatory Authority, Inc. (FINRA) Formalizes Position on Pre-Inception Index Performance Data Morgan, Lewis & Bockius LLP
Apr
26
2013
 SEC and Commodity and Futures Trade Commission (CFTC) Issue Final Joint Rules on “Red Flags” Compliance Mintz
Apr
23
2013
 More Securities Fraud Cases Now Involve Foreign Regulators Katten
Apr
23
2013
 Accelerating Back-End Mergers in Public Company Acquisitions McDermott Will & Emery
Apr
22
2013
 Agencies Provide Additional Instructions for Submission of Resolution Plans and Extend Deadline Katten
Apr
22
2013
 Financial Industry Regulatory Authority (FINRA) and Intermarket Surveillance Group (ISG) Extend Effective Date for Certain Electronic Blue Sheet Data Elements Katten
Apr
21
2013
 SEC and Commodity Futures Trading Commission (CFTC) Adopt Joint Rules to Help Protect Investors from Identity Theft Katten
Apr
20
2013
 Investment Regulation Update - April 2013 Greenberg Traurig, LLP
Apr
19
2013
 CME Block Trade Advisories Clarify Nonpublic Information Restrictions Katten
Apr
19
2013
 National Futures Association (NFA) Amends Futures Commission Merchants Capital Requirements for Forex Transactions with ECPs Katten
Apr
19
2013
 Yet Another Reaffirmation That Financial Industry Regulatory Authority (FINRA) Is For Customers Only Womble Bond Dickinson (US) LLP
Apr
19
2013
 Taxpayer Challenges Validity of IRS Transfer Pricing Regulation McDermott Will & Emery
Apr
18
2013
 New Swap Business Conduct and Record-Keeping Regulations Kick in for Municipal Bond Issuers and Borrowers Mintz
Apr
18
2013
 SEC Issues Guidance on Social Media and Regulation Fair Disclosure (FD) Morgan, Lewis & Bockius LLP
Apr
17
2013
 Deadline Approaches for Amending Compensation Committee Charters Morgan, Lewis & Bockius LLP
Apr
15
2013
 “Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers Mintz
Apr
15
2013
 SEC Staff Meets with IRS to Discuss Tax Implications of a Floating Net Asset Value (NAV) Godfrey & Kahn S.C.
Apr
15
2013
 Chicago Mercantile Exchange (CME) Block Trade Advisories Clarify Nonpublic Information Restrictions Katten
Apr
15
2013
 U.S. Commodity Futures Trading Commission (CFTC) Grants No-Action Relief for End Users from Swap Reporting Requirements ArentFox Schiff LLP
Apr
15
2013
 On CISPA (a Cybersecurity Bill), Privacy Advocates Fight While Tech Companies Stay Silent MapLight
Apr
14
2013
 Federal Court Finds Section 15(a) of the Exchange Act Only Applicable in Domestic Transactions Katten
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