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
May
26
2012
 First Bankruptcy Filed by a Public Pension Fund Mintz
May
25
2012
 Lenders Beware: Eleventh Circuit's Ruling in TOUSA Increases Fraudulent Transfer Risk Barnes & Thornburg LLP
May
25
2012
 Proposed New York Regulations Would Limit Executive Compensation Mintz
May
24
2012
 Brokers’ Unauthorized Misstatements Imputed To Firm In SEC Enforcement Action ArentFox Schiff LLP
May
24
2012
 Recent SEC Enforcement Action Raises Questions About Implications of Foreign Law in Responding to Subpoena Vedder Price
May
23
2012
 Second Circuit Interprets Morrison: Domestic Transactions in Securities on a Foreign Exchange Vedder Price
May
22
2012
 SEC Speaks 2012 Vedder Price
May
22
2012
 CJEU Ruling in Santander: Withholding Tax on Dividends Distributed to Non-Resident UCITS Infringes EU Freedoms McDermott Will & Emery
May
21
2012
 Fill for the Funding Dip: EB-5 Visas Much Shelist, P.C.
May
21
2012
 Adapting To Market Conditions: Joint-Venture Considerations For The Institutional Real Estate Investor And Its Legal Counsel Sills Cummis & Gross P.C.
May
21
2012
 Extensive New Disclosure Requirements for Underwriters of Municipal Securities Take Effect August 2, 2012 Bracewell LLP
May
19
2012
 Proposed Regulations Offer New Examples of Program-Related Investments Morgan, Lewis & Bockius LLP
May
19
2012
 JOBS Act Update for Biofuels Companies Michael Best & Friedrich LLP
May
18
2012
 Suit Filed Against Auditor of Investment Fund for Deficient Auditing of Madoff-Managed Assets Faegre Drinker
May
18
2012
 JOBS Act Serves to Assist Companies with Raising Capital and Jumpstarting the Job Market Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
May
18
2012
 Plan Sponsors and Plan Fiduciaries - July 1, 2012 Compliance Deadline Poyner Spruill LLP
May
17
2012
 SEC Offers Additional JOBS Act Guidance Hunton Andrews Kurth
May
17
2012
 Recent SEC Guidance on Crowdfunding Mintz
May
15
2012
 More Muni's, More Problems: Increased Regulation of the Municipal Bond Market And Its Potential Effects on Municipal Bankruptcies and the US Economy The Ohio State University Moritz College of Law
May
15
2012
 EU Emissions Trading System Single Registry: Timetable Announced McDermott Will & Emery
May
14
2012
 A Third “Last” Chance to Disclose Income from Foreign Accounts to the IRS Armstrong Teasdale
May
14
2012
 Financial Services Legislative and Regulatory Law Update - May 14, 2012 Mintz
May
14
2012
 Ponzi Schemes: Keeping Your “Return” on “Investment” Atlanta's John Marshall School of Law
May
14
2012
 Executive Travel on Corporate Aircraft—Strategies for Regulatory Compliance and Tax Efficiency McDermott Will & Emery
May
13
2012
 ExxonMobil and Big Oil’s Fight Against Dodd-Frank Risk and Insurance Management Society, Inc. (RIMS)
May
11
2012
 Final 408(b)(2) Regulation: Impact on Investment Managers Faegre Drinker
May
11
2012
 FERC Asserts Jurisdiction Over Bundled Renewable Energy Credits McDermott Will & Emery
May
10
2012
 JOBS Act Allows Small Companies Easier Access to Capital McDermott Will & Emery
May
8
2012
 Electricity Industry May Escape Regulation Under New Swaps Rule McDermott Will & Emery
May
7
2012
 SEC Exempts “Dribble Out” Programs and Certain Secondary Sales from Large Trader Reporting Rule Hunton Andrews Kurth
May
4
2012
 FINRA Plans to Begin Large Case Pilot Program on July 2, 2012 Greenberg Traurig, LLP
May
1
2012
 Financial Services Legislative and Regulatory Update - April 30, 2012 Mintz
Apr
30
2012
 JOBS Act to Eliminate Prohibition against General Solicitation for Private Funds and Increase Investor Limit That Requires Exchange Act Registration Vedder Price
Apr
28
2012
 California Court Confirms That Brokerage Firms Have No Duty to Protect Investors in Self-Directed Accounts from their Own Investment Decisions Greenberg Traurig, LLP
Apr
28
2012
 Update on Amendments to the EU Prospectus Directive Morgan, Lewis & Bockius 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