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
Apr
14
2013
 ICE Clear Europe Authorized to Portfolio Margin Swaps and Security-Based Swaps Katten
Apr
13
2013
 Second Circuit Bars Criminal Defendant from Accessing Assets Frozen by Regulators Katten
Apr
13
2013
 President Obama Nominates Mary Jo White as New SEC Chair Godfrey & Kahn S.C.
Apr
13
2013
 D.C. Developments on the Cybersecurity Front – UPDATE Mintz
Apr
13
2013
 SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft Katten
Apr
13
2013
 SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule Godfrey & Kahn S.C.
Apr
13
2013
 Update: London Stock Exchange Publishes Final Rulebook for High-Growth Segment Morgan, Lewis & Bockius LLP
Apr
13
2013
 China Law Update Greenberg Traurig, LLP
Apr
13
2013
 Supreme Court Rules That SEC Can't Extend Fraud Deadline Godfrey & Kahn S.C.
Apr
12
2013
 Cyprus Bailout: Potential Recourse for Lost Investments Morgan, Lewis & Bockius LLP
Apr
12
2013
 Attention Private Fund Advisers: Are you Registered as a Broker-Dealer? Should You Be? Neal, Gerber & Eisenberg LLP
Apr
12
2013
 Using Social Media to Disclose Corporate Facts? Dinsmore & Shohl LLP
Apr
11
2013
 Closely Held Corporations and Stock Sales Raymond Law Group LLC
Apr
11
2013
 SEC Clarifies Position on Unregistered Broker- Dealer Sponsors of Internet Funding Networks Greenberg Traurig, LLP
Apr
11
2013
 Legislative Alert for the Week of April 8, 2013 Mintz
Apr
11
2013
 Cybersecurity Disclosure: A Panel Discussion with the SEC’s Division of Corporation Finance Mintz
Apr
11
2013
 Two Recent SEC No Action Letters Establish Standards for Crowdsourcing Online Platforms Limited to "Accredited Investors" to Avoid Registration as a Broker-Dealer Mintz
Apr
10
2013
 Delaware and California Courts Split as to Whether a Reverse Triangular Merger Results In an Assignment By Operation of Law, Creating Potential Pitfalls for Delaware and Other Foreign Corporations Located in California Sheppard, Mullin, Richter & Hampton LLP
Apr
8
2013
 Securities and Exchange Commission (SEC) Amends Filing Requirements for Dually Registered Clearing Agencies Katten
Apr
8
2013
 Public Company M&A Development: Proposed Amendments to Section 251 of the Delaware General Corporation Law (DGCL) Should Lead to Increased Use of Negotiated Tender Offers Greenberg Traurig, LLP
Apr
7
2013
 Federal Deposit Insurance Corporation (FDIC) Announces Availability of Educational Videos Katten
Apr
7
2013
 Attacks on Proxy Statement Equity Compensation Disclosure Katten
Apr
7
2013
 Commodity Futures Trading Commission Approves Clearing Exemption for Inter-Affiliate Swaps Katten
Apr
7
2013
 U.S. Securities Laws and the EB-5 Investor Program: The Securities and Exchange Commission’s Perspective Greenberg Traurig, LLP
Apr
7
2013
 Securities and Exchange Commission (SEC) Advisory Committee on Small and Emerging Companies Makes Recommendations Katten
Apr
6
2013
 Commodity Futures Trading Commission (CFTC) Issues Rule Regarding Persons Associated with Multiple Swap Dealers or Major Swap Participants Katten
Apr
6
2013
 Southern New York District Court Rejects Evidence from "Confidential Witnesses" as Basis for Securities Class Action Katten
Apr
6
2013
 Commodity Futures Trading Commission (CFTC) Staff Issues No-Action Letters Katten
Apr
6
2013
 Federal Court Dismisses Securities Class Action Alleging Misrepresentations About "Cannibalization" Katten
Apr
6
2013
 SEC Extends Compliance Date for Certain Large Trader Requirements Katten
Apr
6
2013
 EU versus Google: A Test Case for the Viability of a Global Data Protection Policy? Mintz
Apr
5
2013
 Social Media May Satisfy Regulation FD (Fair Disclosure) But Not Without Risk and Preparation Greenberg Traurig, LLP
Apr
5
2013
 FTC Voids Confidentiality and Non-Compete Provisions in Non-Reportable Transaction and Requires Notification of All Future Transactions Mintz
Apr
5
2013
 Deadline for Filing FICA Tax Refunds is April 15 Sheppard, Mullin, Richter & Hampton LLP
Apr
5
2013
 SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) Katten
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