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
Feb
26
2013
 Head of Securities and Exchange Commission (SEC) Investment Management Division Announces Top Regulatory Priorities Katten
Feb
26
2013
 Southern District of New York (SDNY) Favors the Securities & Exchange Commission (SEC) in Foreign Corrupt Practices Act Action Involving Novel Issues of Statutory Interpretation Katten
Feb
25
2013
 Department of Labor (DOL) Issues Guidance for Employee Retirement Income Security Act of 1974 (ERISA) Plans to Engage in Cleared Swaps Katten
Feb
25
2013
 European Securities and Markets Authority (ESMA) Recommends Proxy Advisor Code of Conduct Katten
Feb
25
2013
 Southern District of New York (SDNY) Finds Lack of Personal Jurisdiction in Foreign Corrupt Practices Act Claim Katten
Feb
25
2013
 Preparation for 2012 Fiscal Year-End Securities and Exchange Commission (SEC) Filings and 2013 Annual Shareholder Meetings Mintz
Feb
24
2013
 Commodity Futures Trading Commission (CFTC) and International Organization of Securities Commissioners (IOSCO) to Host Roundtable on IOSCO Financial Benchmarks Report Katten
Feb
23
2013
 International Regulators Publish "Near-Final" Draft of Uncleared Swap Margin Rules Katten
Feb
23
2013
 EB-5 Program Securities Offerings: Considerations for the Drafting Process Greenberg Traurig, LLP
Feb
23
2013
 Decision in Southern New York US District Court Undercuts Extraterritorial Reach of the "FCPA" Foreign Corrupt Practices Act Morgan, Lewis & Bockius LLP
Feb
23
2013
 The Myths of Retrogression of the Visa Numbers in the EB-5 Program Greenberg Traurig, LLP
Feb
22
2013
 SEC Approves NYSE, NYSE MKT and NASDAQ Compensation Committee Listing Standards Hunton Andrews Kurth
Feb
22
2013
 EB-5 Program Securities Offerings: Preparing Appropriate Disclosure Documents Greenberg Traurig, LLP
Feb
21
2013
 Securities and Exchange Commission (SEC) Issues Guidance on Broker-Dealer Registration Exemption in Title II of the JOBS Act Hunton Andrews Kurth
Feb
20
2013
 The Real FCPA Guide: 35 years in the Making - “Non-Binding” Foreign Corrupt Practices Act Resource Useful to Companies Competing Globally Dinsmore & Shohl LLP
Feb
19
2013
 Second Circuit Affirms Dismissal of Securities Fraud Claims Relating to Allegedly Misleading Press Release Sheppard, Mullin, Richter & Hampton LLP
Feb
18
2013
 Between Mortar and Pestle: Securities and Exchange Commission (SEC) Pressure Grinds Auditors Against People's Republic of China (PRC) State Interests Sheppard, Mullin, Richter & Hampton LLP
Feb
18
2013
 Commodity Futures Trading Commission (CFTC) Permits Cantor Clearinghouse to Clear Certain Foreign Exchange Options Katten
Feb
17
2013
 Securities Regulators Provide Good News, Not-so-Good News for Section 529 Programs Mintz
Feb
17
2013
 Financial Industry Regulatory Authority (FINRA) Offers Changes to Proposed Rules Governing Markups, Commissions and Fees Katten
Feb
17
2013
 European Securities and Markets Authority (ESMA) Issues Alternative Investment Fund Managers (AIFM) Remuneration Guidelines Katten
Feb
16
2013
 Securities and Exchange Commission (SEC) Comforts Appointed Board Members of Municipal Issuers on Valentine's Day Mintz
Feb
16
2013
 Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act of 1976 Premerger Notifications Effective February 11, 2013 Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2013
 Key Financial Industry Regulatory Authority (FINRA) Regulatory Focus of 2013: Retail Sales of Complex Products, According to Annual Letter [VIDEO] Neal, Gerber & Eisenberg LLP
Feb
15
2013
 Financial Industry Regulatory Authority (FINRA) Proposes Rule Change that Would Require Reporting Over-the-Counter (OTC) Equity Transactions Within 10 Seconds Katten
Feb
15
2013
 Is The Would-Be Arbitration Claimant A Brokerage Firm “Customer?” The Fourth Circuit Says Both “Yes” And “No” Greenberg Traurig, LLP
Feb
15
2013
 Department of Labor (DOL) Clarifies Application of ERISA Rules to Cleared Securities Swaps Morgan, Lewis & Bockius LLP
Feb
14
2013
 Are Banks Reassessing Risky Practices in Wake of Libor Rate-Rigging Scandal? Risk and Insurance Management Society, Inc. (RIMS)
Feb
14
2013
 Municipal Securities Rulemaking Board (MSRB) Proposes Rule G-47 on Time of Trade Disclosure Obligations Mintz
Feb
13
2013
 Securities and Exchange Commission (SEC) Freezes Assets and Brings Civil Charges against EB-5 Investor Visa Project Sheppard, Mullin, Richter & Hampton LLP
Feb
12
2013
 The Securities and Exchange Commission (SEC) Gets Into the EB-5 Ring: Considerations for Minimizing Exposure Greenberg Traurig, LLP
Feb
12
2013
 Financial Services Law - Legislative and Regulatory Update - February 11, 2013 Mintz
Feb
12
2013
 Securities and Exchange Commission (SEC) Weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC) Greenberg Traurig, LLP
Feb
11
2013
 trueEX Requests that Commodity Futures Trading Commission (CFTC) Amend Order of Designation as a Contract Market Katten
Feb
11
2013
 Michigan's New Social Media Privacy Law Bucks the Trend (and Starts a New Trend?) by Allowing Broker-Dealers to Comply with FINRA Rules Greenberg Traurig, LLP
Subscribe to Securities SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins