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
Sep
25
2011
 U.S. Department of Labor to Reconsider Proposed Regulation Impacting ESOP Appraisers Sheppard, Mullin, Richter & Hampton LLP
Sep
25
2011
 DOL Announces Intent to Repropose Rule on Definition of "Fiduciary" Morgan, Lewis & Bockius LLP
Sep
24
2011
 SEC Adopts Final Definition of “Family Offices” Exempt From Investment Advisers Act McDermott Will & Emery
Sep
23
2011
 Mandatory Bonus Due to Employees Upon Certain Distributions of Dividends Morgan, Lewis & Bockius LLP
Sep
23
2011
 Court Orders Government to Produce Electronic Data in Usable Form; Recognizes Need for E-Discovery Rules in Criminal Cases Bracewell LLP
Sep
23
2011
 LSTA Finalizes Distressed Buy-In/Sell-Out Provisions Hunton Andrews Kurth
Sep
23
2011
 The UK Takeover Code: Significant Changes Come Into Effect Morgan, Lewis & Bockius LLP
Sep
22
2011
 Countrywide Protected Fraudsters by Silencing Whistleblowers, Say Former Employees Center for Public Integrity
Sep
21
2011
 DC Circuit’s Proxy Access Decision to Stand, but SEC to Allow “Private Ordering” of Proxy Access Hunton Andrews Kurth
Sep
19
2011
 Ad Hoc Committees Owe Fiduciary Duties? WaMu Threatens To Turn a Molehill Into a Mountain. Bracewell LLP
Sep
19
2011
 OFAC Settles Alleged Sanctions Violations for $88.3 million Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2011
 Second Circuit Holds that Falsity of Estimates of Goodwill and Loan Loss Reserves For Purposes of Sections 11 and 12(a)(2) of the Securities Act of 1933 Hinges on the Speakers' Subjective Belief in the Estimates' Accuracy Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2011
 DOL Releases Interim Guidance on Electronic Delivery of Participant-Directed Retirement Plan Disclosure Morgan, Lewis & Bockius LLP
Sep
17
2011
 Mortgage Industry Whistleblower Wins Case Against Bank of America Center for Public Integrity
Sep
15
2011
 Tenth Circuit Holds that "Forced Sellers" Resulting From a Squeeze Out Merger Lack Standing to Assert Claims Under Sections 11 and 12(a)(2) the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2011
 Another Fraud Case for the Record Books Risk and Insurance Management Society, Inc. (RIMS)
Sep
14
2011
 MSRB Withdraws Pending Municipal Advisor Rule Proposals Hunton Andrews Kurth
Sep
13
2011
 Amendments to SEC Rule 14a-8 Allowing Shareholder Proposals for Proxy Access Regimes to Come into Effect Sheppard, Mullin, Richter & Hampton LLP
Sep
10
2011
 SEC Not to Seek Rehearing of Proxy Access Decision Michael Best & Friedrich LLP
Sep
8
2011
 Securities and Exchange Commission Adopts Large Trader Reporting Rule Hunton Andrews Kurth
Sep
7
2011
 Investor Protections Imperiled by Wall Street, GOP Assault on Financial Reform Center for Public Integrity
Sep
6
2011
 Oil and Gas Companies Should Expect Increased SEC Scrutiny of Operations and Reserves Hunton Andrews Kurth
Sep
6
2011
 SEC Announces Slight Decrease in Fee Rates for Section 6(b), Section 13(e) and Section 14(g) in Fiscal Year 2012 Sheppard, Mullin, Richter & Hampton LLP
Sep
3
2011
 Municipal Bond Offerings: MSRB Propose Rules of Conduct for Municipal Advisors Hunton Andrews Kurth
Sep
3
2011
 SEC Concept Release Requests Industry Comments on Funds’ Use of Derivatives Morgan, Lewis & Bockius LLP
Sep
2
2011
 SEC Replaces Credit Ratings with New Wide Market Following Test for Shelf Registration Statement Eligibility Hunton Andrews Kurth
Aug
29
2011
 Investment Advisers —Massachusetts Adopts Rule on Use of Expert Networks Greenberg Traurig, LLP
Aug
28
2011
 Recent IRS Notices Provide Supplemental FATCA Guidance and Phased-in Implementation Morgan, Lewis & Bockius LLP
Aug
27
2011
 California Court of Appeal Refuses to Permit an Action for Rescission of a Strategic Transaction, Holding That a Board Has No Duty Under California Law to Include a "Fiduciary Out" Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2011
 Dodd Frank – Several Developments of Note Greenberg Traurig, LLP
Aug
22
2011
 Derivatives — Inter-Affiliate Swaps Exemption from Dodd-Frank is Sought in Congress Greenberg Traurig, LLP
Aug
22
2011
 Does DOJ Probe Mean the Government is Finally Turning Up Heat on the Rating Agencies? Center for Public Integrity
Aug
19
2011
 Second Circuit Addresses Materiality at the Pleadings Stage in Two Recent Decisions Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2011
 Justice Department Investigation of S&P Risk and Insurance Management Society, Inc. (RIMS)
Aug
15
2011
 The Dodd-Frank Act: A Guide to the Corporate Governance, Executive Compensation, and Disclosure Provisions 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