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
26
2012
Shareholder Disputes: How to Prevent a Corporate Divorce Dinsmore & Shohl LLP
Mar
26
2012
Financial Services Legislative and Regulatory Update March 26, 2012 Mintz
Mar
26
2012
Legislation Aims to Ease Capital Raising Burdens Barnes & Thornburg LLP
Mar
25
2012
SEC Focuses on Municipal Underwriter Compliance with Due Diligence Obligations Mintz
Mar
24
2012
Regulated Bidding for Emissions Allowances Under Phase Three of the EU Emissions Trading Scheme McDermott Will & Emery
Mar
24
2012
IRS Announces Closing Agreement Program for Tax-Exempt Student Loan Bonds Subject to Taxability Determination Due to Loan-Swapping Mintz
Mar
21
2012
Will Auditors Influence How Executives Are Paid? McDermott Will & Emery
Mar
21
2012
SEC Focuses On Municipal Underwriter Compliance With Due Diligence Obligations Mintz
Mar
21
2012
Appeals Ruling Stresses Value of SEC Voluntary Settlements Ifrah Law
Mar
20
2012
Second Circuit Upholds SEC Finding that Willfully Failing to Report Personal Tax Liens is Sanctionable by Disqualification Greenberg Traurig, LLP
Mar
19
2012
FERC Order Appears to Find Most PJM Internal Bilateral Transactions Improper Bracewell LLP
Mar
19
2012
Financial Services Legislative and Regulatory Update - March 19, 2012 Mintz
Mar
18
2012
Section 162(m): Actions That Generally Should be Taken by March 31, 2012, and/or in This Year’s Proxy to Avoid the $1,000,000 Deduction Limitation Greenberg Traurig, LLP
Mar
18
2012
Contractual Non-Reliance Clauses: Insulating Defendants from Civil Fraud Claims Since 1995 Much Shelist, P.C.
Mar
17
2012
FSA Consultation on Proposed Changes to UK Listing Rules: New Definitions and Individual Guidance McDermott Will & Emery
Mar
14
2012
Heavier Taxation of Carried Interest Proposed Again --- Both in the Jobs Bill and by Rep. Levin Greenberg Traurig, LLP
Mar
13
2012
Financial Services Legislative and Regulatory Updates week of March 12, 2012 Mintz
Mar
12
2012
Illinois Appellate Court Reaffirms Rulings That Nonreliance Clauses Bar Fraud Claims Greenberg Traurig, LLP
Mar
11
2012
Michigan's Emergency Financial Manager Law and Its Impact on Creditors of Municipalities and School Districts Barnes & Thornburg LLP
Mar
9
2012
European Market Abuse Regulation Extended to the Commodities Sector McDermott Will & Emery
Mar
7
2012
Recent SEC Staff Comments Challenge Reporting of Equity Compensation Hunton Andrews Kurth
Mar
7
2012
DOL, Courts Interpretations of SOX Grow More Divergent Greenberg Traurig, LLP
Mar
7
2012
Financial Advisor Conflicts Update McDermott Will & Emery
Mar
5
2012
Financial Services Legislative And Regulatory Update March 5, 2012 Mintz
Mar
5
2012
Legislative and Regulatory Proposals Affecting Capital Raising Morgan, Lewis & Bockius LLP
Mar
1
2012
Tax-Exempt Financing Opportunity for Private Sector Borrowers (Hurricane Ike Bonds) Bracewell LLP
Feb
29
2012
Does Your Firm's Standard Lien Language Create a Possibility that Your Customer IRAs May Lose Their Tax Exempt Status and Protection from Third-Party Creditors? Greenberg Traurig, LLP
Feb
28
2012
Plan Fiduciaries and Final Guidance on Disclosure of Fee Information Vedder Price
Feb
27
2012
Liability for inside bridge rounds? Dinsmore & Shohl LLP
Feb
26
2012
Startup University: Equality is rarely the right answer for founder equity Dinsmore & Shohl LLP
Feb
26
2012
Startup University: Founder vesting, a must in most situations Dinsmore & Shohl LLP
Feb
25
2012
Should Investors Buck the Status Quo with LLCs? Dinsmore & Shohl LLP
Feb
25
2012
What You Need to Get Done Now If You Want to Sell Your Company in 2012 Mintz
Feb
25
2012
Treasury Department and IRS Release Initial Lifetime Income Guidance; Additional Guidance Expected Shortly McDermott Will & Emery
Feb
22
2012
Financial Services Legislative and Regulatory Update Mintz
 

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