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
Mar
10
2013
 Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act (HSR) Act Premerger Notifications Effective Became February 11, 2013 Sheppard, Mullin, Richter & Hampton LLP
Mar
10
2013
 Employee Retirement Income Security Act (ERISA) Considerations in the Sale of Individual Annuity Contracts to Plans Faegre Drinker
Mar
10
2013
 How EB-5 Petitions and the Investment Company Act of 1940 Intersect Greenberg Traurig, LLP
Mar
10
2013
 Fourth Circuit: Financial Industry Regulatory Authority (FINRA) Rule Is For Customers Only Womble Bond Dickinson (US) LLP
Mar
10
2013
 U.S. Supreme Court Declines to Apply the "Discovery Rule" to Extend the Five-Year Statute of Limitations for SEC Punitive Fraud Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Mar
10
2013
 London Stock Exchange Publishes Draft Rulebook for New Fast-Growth Segment Morgan, Lewis & Bockius LLP
Mar
10
2013
 Sale of U.S. Exchange Traded Funds (ETFs) in Latin America Morgan, Lewis & Bockius LLP
Mar
9
2013
 National Futures Association (NFA) Proposes Amendment Permitting Certain Loans by Commodity Pools to Related Entities Katten
Mar
9
2013
 Third Circuit Reinforces Limits to Directors' Exposure for Misconduct by Corporate Employees Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2013
 Supreme Court Denies Securities and Exchange Commission (SEC) Extra Time to Bring Enforcement Actions for Civil Penalties Katten
Mar
9
2013
 Line in the Sand: Siemens Argentina Case Limits Personal Jurisdiction Under the "FCPA" Foreign Corrupt Practices Act Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2013
 Commodity Futures Trading Commission (CFTC) Approves Chicago Mercantile Exchange (CME) Swap Data Reporting Rule Katten
Mar
8
2013
 U.S. Supreme Court Holds that Class Action Securities Fraud Plaintiffs Need Not Prove the Materiality of the Alleged False Statements or Omissions to Support Certification of a Class, Resolving Circuit Split Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2013
 New ERISA Fiduciary Concern When Employer Stock Offered as 401(k) Plan Investment Option Faegre Drinker
Mar
7
2013
 Supreme Court Holds That Proof Of Materiality Is Not A Prerequisite To Certification Of Fraud-On-The-Market Securities Class Actions Bracewell LLP
Mar
6
2013
 Raising Capital - What You Don’t Know Could Hurt You Lewis Roca Rothgerber LLP
Mar
6
2013
 UK Government Publishes Proposals for Changes to Law on Share Buy Backs Morgan, Lewis & Bockius LLP
Mar
6
2013
 Protect Your CEO's Tweets and Posts from U.S. Securities Exchange Commission (SEC) Enforcement Action von Briesen & Roper, s.c.
Mar
6
2013
 Preparing for the 2013 Proxy Season Michael Best & Friedrich LLP
Mar
5
2013
 Financial Services Legislative and Regulatory Update - March 4, 2013 Mintz
Mar
5
2013
 Considerations in Underwriting the Financial Gap Between Filing and Approval of the I-526 Petition Greenberg Traurig, LLP
Mar
4
2013
 Financial Crimes Enforcement Network (FinCEN) Issues Advisory to Financial Institutions: Update on Tax Refund Fraud and Related Identity Theft Katten
Mar
4
2013
 Commodity Futures Trading Commission (CFTC) Revises Clearing Compliance Schedule for iTraxx Credit Default Swap (CDS) Indices Katten
Mar
4
2013
 Whatever Your Impression is About Venture Capitalists, Understand These 4 Things First Michael Best & Friedrich LLP
Mar
3
2013
 Securities and Exchange Commission (SEC) 2013 Examination Priorities Katten
Mar
3
2013
 Supreme Court Ruling Lowers Class Action Hurdle for Securities Fraud Cases Katten
Mar
3
2013
 European Market Infrastructure Regulation (EMIR) Technical Standards Published in the Official Journal of the European Union Katten
Mar
2
2013
 Securities and Exchange Commission (SEC) Division of Trading and Markets Discusses Issues with Exchange-Traded Products Katten
Mar
2
2013
 One-Day Prohibition Imposed on Short Selling of Four Italian Shares by United Kingdom (UK) Katten
Mar
1
2013
 Financial Services Legislative and Regulatory Update - February 25, 2013 Mintz
Mar
1
2013
 Recent Securities and Exchange Commission (SEC) Speeches Focus on Investor Protection and Disclosure Katten
Mar
1
2013
 Supreme Court Rules Securities and Exchange Commission (SEC) Has Five Years to Seek Penalties McDermott Will & Emery
Feb
28
2013
 Highlights from United States Securities and Exchange Commission (the SEC or the Commission) Speaks 2013 Vedder Price
Feb
27
2013
 Securities and Exchange Commission (SEC) Identifies Investment Adviser, Investment Company Examination Priorities for 2013 Neal, Gerber & Eisenberg LLP
Feb
26
2013
 Highlights from Securities and Exchange Commission (SEC) Speaks 2013 Vedder Price
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