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
Nov
13
2011
 CFTC Launches Whistleblower Program: Dodd-Frank Update Greenberg Traurig, LLP
Nov
13
2011
 SEC Staff Grants No-Action Relief on Compliance with ERISA Disclosure Rule Morgan, Lewis & Bockius LLP
Nov
12
2011
 Recent Supreme Court Decisions That Will Shape Class Action Practice Morgan, Lewis & Bockius LLP
Nov
11
2011
 All in the Family: Application of the SEC’s Family Office Rule ArentFox Schiff LLP
Nov
11
2011
 Form PF Will Result in Substantial Reporting Requirements for Registered Advisers to Private Funds Morgan, Lewis & Bockius LLP
Nov
9
2011
 IRS Extends Carrot to Issuers of Tax-Advantaged Bonds to Encourage Adoption of Post-Issuance Compliance Procedures Greenberg Traurig, LLP
Nov
8
2011
 Janus Capital Group, Inc. v. First Derivative Traders: Supreme Court Rules Regarding Liability of Secondary Actors Vedder Price
Nov
8
2011
 Supreme Court Determines That Plaintiffs Do Not Need to Prove Loss Causation in Order to Obtain Class Certification in Federal Securities Fraud Actions Vedder Price
Nov
7
2011
 The SEC Settles Yet Another Section 304 Clawback Case against an “Innocent” Executive, but Litigation Regarding the Meaning of “Misconduct” May Continue in SEC v. Jenkins Vedder Price
Nov
6
2011
 Appeals Court Vacates SEC’s Proxy Access Rule Vedder Price
Nov
4
2011
 FINRA Clarifies its Social Media Guidelines Vedder Price
Nov
2
2011
 Department of Labor Interim Guidance on Electronic Disclosure of Fee Information Vedder Price
Oct
31
2011
 SEC Adopts Form PF at SEC Meeting Greenberg Traurig, LLP
Oct
31
2011
 ISS Requests Comments on Proposed Hydraulic Fracturing Policy Bracewell LLP
Oct
31
2011
 Dodd Frank Update — Several Developments of Note: Greenberg Traurig, LLP
Oct
31
2011
 Second Circuit's Citigroup Decision Endorses Presumption of Prudence, Upholds Dismissal of Disclosure Claims Morgan, Lewis & Bockius LLP
Oct
30
2011
 SEC Issues Guidance on the Disclosure of Cybersecurity Incidents and Costs Morgan, Lewis & Bockius LLP
Oct
30
2011
 Federal Regulators Request Comments on Proposal to Implement Volcker Rule Greenberg Traurig, LLP
Oct
27
2011
 Public Companies: SEC Issues Guidance on Cybersecurity Disclosures McDermott Will & Emery
Oct
25
2011
 Grappling with Governance Risk and Insurance Management Society, Inc. (RIMS)
Oct
24
2011
 SEC Asks Public Companies to Disclose Cyber Attacks Barnes & Thornburg LLP
Oct
24
2011
 Investment Advisers - NASAA Issues Report on Issues Found in Investment Advisers Exams Greenberg Traurig, LLP
Oct
23
2011
 The Amended 2011 Finance Act (France) McDermott Will & Emery
Oct
23
2011
 FSOC Proposes Rules for Board of Governors of the Federal Reserve’s Supervision of Nonbank Financial Companies Morgan, Lewis & Bockius LLP
Oct
22
2011
 Dodd-Frank Update — Several Regulatory and Legislative Proposals of Note Greenberg Traurig, LLP
Oct
19
2011
 Less Litigation, More Regulation Risk and Insurance Management Society, Inc. (RIMS)
Oct
17
2011
 Delaware Supreme Court Clarifies When a Series of Dispositions will not Trigger an "All or Substantially All" Indenture Covenant Sheppard, Mullin, Richter & Hampton LLP
Oct
8
2011
 Contractual Rights Vanish Again in the "Bermuda" of Triangular Setoff Bracewell LLP
Oct
7
2011
 Top Five Traps in M&A Transactions in China McDermott Will & Emery
Oct
7
2011
 Occupy Wall Street Time Line Risk and Insurance Management Society, Inc. (RIMS)
Oct
6
2011
 Recent Ruling Allows a Shareholder Lawsuit to Proceed After a Negative Say-on-Pay Vote: Quirk or Harbinger? Hunton Andrews Kurth
Oct
3
2011
 How to Turn a Bankruptcy Reorganization Into an Insider Trading Charge Sheppard, Mullin, Richter & Hampton LLP
Oct
2
2011
 Systemic Risk Management - since the Lehman Brothers bankruptcy Risk and Insurance Management Society, Inc. (RIMS)
Oct
1
2011
 SEC Fee Rate Adjustment for Section 6(B), Section 13(E) and Section 14(G) To Be Effective October 1, 2011 Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2011
 SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings Sheppard, Mullin, Richter & Hampton 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