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
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
Feb
10
2013
 Federal Trade Commission (FTC) Proposes Amendments To The Hart-Scott-Rodino Rules Regarding Withdrawal Of A Premerger Notification Filing Sheppard, Mullin, Richter & Hampton LLP
Feb
9
2013
 SEC Issues Frequently Asked Questions on Exemption from Broker-Dealer Registration Under the Jumpstart Our Business Startups "JOBS" Act Katten
Feb
9
2013
 Securities and Exchange Commission "SEC" Roundtable Discusses Decimalization and Tick Sizes Katten
Feb
9
2013
 Institutional Shareholder Services ("ISS") Announces New Governance QuickScore Will Replace Governance Risk Indicators (GRId) to Identify Risks Within a Company Katten
Feb
9
2013
 Petitioners File Opening Brief Challenging Securities and Exchange Commission's "SEC" Conflict Minerals Rule Katten
Feb
8
2013
 Select Securities and Exchange Commission and FINRA Cases and Developments: 2012 Year in Review Morgan, Lewis & Bockius LLP
Feb
8
2013
 Wisconsin Companies Cautioned About Notices for Corporate Annual Minute Reporting Michael Best & Friedrich LLP
Feb
8
2013
 Section 363 Sales — An Increasingly Viable Tool For Bank Mergers & Acquisitions? ArentFox Schiff LLP
Feb
7
2013
 Federal Trade Commission (FTC) Proposes Rules for Withdrawal of Hart-Scott-Rodino (HSR) Merger Filings Bracewell LLP
Feb
7
2013
 U.S. Supreme Court Grants Certiorari to Address Federal Preemption of State-Law Securities Claims Hunton Andrews Kurth
Feb
7
2013
 The Federal Trade Commison's New Hart-Scott-Rodino Act: New filing thresholds will significantly impact 2013 deals Dinsmore & Shohl LLP
Feb
7
2013
 Securities and Exchange Commission’s (SEC) Rule 10b5-1 Trading Plans Under Scrutiny Barnes & Thornburg LLP
Feb
6
2013
 Securities and Exchange Commission (SEC) Approves Final NYSE and NASDAQ Compensation Committee Rules Morgan, Lewis & Bockius LLP
Feb
5
2013
 Financial Services Law - Legislative and Regulatory Update - February 4, 2013 Mintz
Feb
5
2013
 National Futures Association (NFA) to Require Commodity Pool Operators (CPOs) to Identify Registered Investment Companies Katten
Feb
5
2013
 Private Equity Beware: Securities Exchange Commission (SEC) Official Predicts Increased Scrutiny, Enforcement Action in 2013 Neal, Gerber & Eisenberg LLP
Feb
4
2013
 Commodity Futures Trading Commissions (CFTC) to Host Roundtable on Enhancing Customer Funds Protection Katten
Feb
4
2013
 Spanish Short Sales Ban Ends, Greek Ban Continues Katten
Feb
4
2013
 District Court Finds that Securities Exchange Act Covers Stock "Float" Manipulation Katten
Feb
3
2013
 Ninth Circuit Applies Securities Litigation Uniform Standards Act to Affirm Dismissal of Section 17200 Class Action Involving Variable Life Insurance Policies Sheppard, Mullin, Richter & Hampton LLP
Feb
3
2013
 European Securities and Markets Authorities (ESMA) Publishes Further Update of Short Selling Regulation Questions and Answers Katten
Feb
3
2013
 SEC Approves Public Company Accounting Oversight Board "PCAOB" Auditing Standard No. 16, Communications with Audit Committees Giordano, Halleran & Ciesla, P.C.
Feb
3
2013
 Fourth Circuit Affirms Finding of No Fifth Amendment Violation in Connection with 45-Year Conviction for $100 Million Investment Scheme Katten
Feb
3
2013
 MF Global UK Judgment Clarifies Law on Client Money Entitlement Katten
Feb
2
2013
 Second Circuit Holds that Two Series of Common Stock Are Not Matchable Under the Short-Swing Profit Rule Hunton Andrews Kurth
Feb
2
2013
 SEC Extends Expiration Date for Interim Final Rules Providing Exemptions for Security-Based Swaps Katten
Feb
2
2013
 National Futures Association "NFA" Sets Implementation Deadline for Phase 1 of Customer Segregated Funds Reporting Katten
Feb
1
2013
 Ways and Means Committee Issues Draft Provisions to Reform Taxation of Financial Instruments Greenberg Traurig, LLP
Jan
29
2013
 Financial Services Legislative and Regulatory Update - January 28, 2013 Mintz
Jan
28
2013
 Commodity Futures Trading Commission "CFTC" Amends Order of Registration and Approves Rulebook for LCH.Clearnet LLC Katten
Jan
27
2013
 National Futures Association "NFA" Issues Notice Regarding CTA Reporting Requirements Katten
Jan
26
2013
 2012 Trends in Securities Class Action Filings Katten
Jan
26
2013
 FINRA Adopts Rule 5123 Requiring the Filing of Offering Documents Used in Private Placements of Securities Sheppard, Mullin, Richter & Hampton LLP
Jan
26
2013
 Commodity Futures Trading Commission (CFTC) to Host Roundtable on "Futurization" of Swaps Katten
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