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
3
2013
 Hannaford Data Breach Class Action Certification: Denied Mintz
Apr
1
2013
 The Pleading Bar for Securities Fraud Cases Is Higher Than It Looks Womble Bond Dickinson (US) LLP
Apr
1
2013
 FINRA Proposed Rule Change to Extend Temporary Limit on Application of FINRA Rules to Security-Based Swaps Katten
Apr
1
2013
 New International Swaps and Derivatives Association (ISDA) Protocol for Swap Documentation Katten
Mar
31
2013
 NASDAQ Files to Change Order Processing Algorithm, Permit Registration of Market Makers and Amend Order Types on PSX Katten
Mar
31
2013
 New York District Court Bars Discovery of SEC's Requests for Extension Under Dodd-Frank Katten
Mar
31
2013
 SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers Katten
Mar
31
2013
 SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin Requirements for Credit Default Swaps Katten
Mar
30
2013
 April 10 Deadline for Swap End User Legal Entity Identifier Requirement Katten
Mar
30
2013
 Upcoming Deadlines – Dodd-Frank Reporting and Recordkeeping ArentFox Schiff LLP
Mar
30
2013
 London Interbank Offered Rate (LIBOR) Discontinuation Guidance from International Swaps and Derivatives Association, Inc. (ISDA) Katten
Mar
29
2013
 National Futures Association (NFA) Issues Reminder of Futures Commission Merchant (FCM) Responsibility for Review of Guaranteed IB Promotional Materials Katten
Mar
29
2013
 Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information Katten
Mar
28
2013
 The Siren Song of Securities: The Perils of Expert Networks & The Risks of Insider Trading Rutgers School of Law
Mar
28
2013
 The Risks and Perils of Crowdfunding McDermott Will & Emery
Mar
27
2013
 Second Circuit Reverses Class Certification Order, Holding That a Clearing Broker's Alleged Knowledge of Fraud Against Shareholders, Absence Direct Involvement, Is Insufficient to Create a Duty of Disclosure Sheppard, Mullin, Richter & Hampton LLP
Mar
26
2013
 Supreme Court Narrows 'State Action' Immunity From Antitrust Laws Greenberg Traurig, LLP
Mar
26
2013
 Delaware Court of Chancery Addresses Director's Duties In Connection With Change of Control Put Provisions Bracewell LLP
Mar
25
2013
 New York Agencies Make Additional Revisions to Proposed Regulations Relating To Compensation and Administrative Expenses Greenberg Traurig, LLP
Mar
25
2013
 Financial Services Legislative and Regulatory Update - March 25, 2013 Mintz
Mar
25
2013
 CFTC Grants Relief from Required Clearing for Partial Novation and Partial Termination of Swaps Katten
Mar
25
2013
 Banking Agencies Issue Guidance on Leveraged Lending Katten
Mar
24
2013
 California's Revised Uniform Limited Liability Company Act Sheppard, Mullin, Richter & Hampton LLP
Mar
24
2013
 FINRA's Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time Katten
Mar
24
2013
 Cayman Islands to Enter into a Model 1 Intergovernmental Agreement "IGA" Katten
Mar
24
2013
 Federal Court Rejects "Core Operations" Theory of Scienter in Battery Manufacturer Fraud Case Katten
Mar
24
2013
 UK Financial Services Authority (FSA) Publishes Second EU Alternative Investment Fund Managers Directive (AIFMD) Consultation Paper Katten
Mar
23
2013
 SEC Publishes Guidance on Filing Requirements for Interactive Content Katten
Mar
23
2013
 SEC Oversight of Financial Industry Regulatory Authority (FINRA) Exempt from FOIA Request Katten
Mar
23
2013
 Commodity Futures Trading Commission (CFTC) Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression Katten
Mar
23
2013
 Federal Court Rules Federal Energy Regulatory Commission (FERC) Does Not Have Authority to Fine Trader for Manipulation of Futures Contracts Katten
Mar
23
2013
 European Securities and Markets Authority (ESMA) Publishes European Market Infrastructure Regulation (EMIR) Q&As Katten
Mar
22
2013
 Benefits of Quotation on the Over-The-Counter (OTC) Markets in lieu of Exchange Act Registration Giordano, Halleran & Ciesla, P.C.
Mar
22
2013
 NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers Katten
Mar
22
2013
 SEC Secures Largest-Ever Settlement for Insider Trading Case Barnes & Thornburg LLP
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