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
Jan
5
2013
 Privacy and Security Issues for 2013 (First of a series): The SEC Will Require Greater Disclosure Related to Data Security Risks and Breaches Mintz
Jan
4
2013
 Fiscal Cliffhanger: Congress Passes Federal Tax & Health Care Legislation for 2013 Greenberg Traurig, LLP
Jan
4
2013
 Commodity Futures Trading Commission "CFTC" Adopts Tape-Recording and Recordkeeping Rules Morgan, Lewis & Bockius LLP
Jan
3
2013
 New FINRA Rule 5123 Regarding Private Placements of Securities Effective December 3, 2012 Mintz
Dec
31
2012
 Canadian Government Approves CNOOC’s Acquisition of Nexen Morgan, Lewis & Bockius LLP
Dec
31
2012
 China Encourages Private Outbound Investment Greenberg Traurig, LLP
Dec
31
2012
 National Futures Association "NFA" Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies Katten
Dec
30
2012
 Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities Katten
Dec
29
2012
 Where to Spend Your Healthcare Investment Dollars Faegre Drinker
Dec
29
2012
 SEC Permits Portfolio Margining of Credit Default Swaps Morgan, Lewis & Bockius LLP
Dec
28
2012
 SEC Probe of Netflix Highlights Legal Risks of Social Media Armstrong Teasdale
Dec
28
2012
 A Proxy Season Update: Preparing for 2013 Dinsmore & Shohl LLP
Dec
27
2012
 Exemption from NFA Assessment Fee for Proprietary Trading Firms that Register as Commodity Pool Operators CPOs Katten
Dec
27
2012
 No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) Katten
Dec
27
2012
 Securities and Exchange Commission "SEC" Charges Eight Mutual Fund Directors for Failure on Valuations Katten
Dec
27
2012
 China’s Outbound Investment Greenberg Traurig, LLP
Dec
27
2012
 European Commission Publishes Alternative Investment Fund Managers Directive (AIFMD), Level 2, Implementing Regulation Morgan, Lewis & Bockius LLP
Dec
26
2012
 Lona Nallengara to Replace Cross as Corporation Finance Chief Katten
Dec
26
2012
 No-Action Relief Granted with Respect to Classification of Certain Persons as Owners of Broker-Dealers for Purposes of the Net Capital and Customer Protection Rules Katten
Dec
26
2012
 The Commodity Futures Trading Commission "CFTC" Extends Compliance Dates for Certain Swap Dealer and Major Swap Participant Requirements Katten
Dec
26
2012
 2012: "The Real Year of the (Healthcare) REIT"? Womble Bond Dickinson (US) LLP
Dec
26
2012
 European Commission Adopts Alternative Investment Fund Managers Directive "AIFMD" Level 2 Regulation Katten
Dec
25
2012
 New China Provisions on Domestic Securities Investments by QFII Greenberg Traurig, LLP
Dec
25
2012
 SEC Issues Exemptive Order in Connection with Portfolio Margining of Cleared Swaps and Security-Based Swaps Katten
Dec
25
2012
 Second Circuit Adheres Strictly to the Rules of Contract in Sovereign Debt Restructurings Greenberg Traurig, LLP
Dec
24
2012
 Commodity Futures Trading Commission "CFTC" Issues No-Action Letters Relating to Swaps Katten
Dec
23
2012
 Additional Guidance Provided on FINRA's Suitability Rule Katten
Dec
22
2012
 CFTC Approves Final Rule Requiring Recording of Oral Communications Katten
Dec
21
2012
 China: New Regulations on the Employee Stock Ownership Plans of Listed Companies Greenberg Traurig, LLP
Dec
21
2012
 Protect Your Valuable Brands McDermott Will & Emery
Dec
20
2012
 Preparing for UK Regulatory Change: An Overview of the New Framework Katten
Dec
18
2012
 SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives Katten
Dec
17
2012
 CFTC Issues No-Action Letters Katten
Dec
16
2012
 The Risks of Social Media: Facebook Post Attracts Securities and Exchange Commission "SEC" Action Risk and Insurance Management Society, Inc. (RIMS)
Dec
16
2012
 CFTC Issues No-Action Relief from CPO Registration Katten
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