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
Aug
15
2011
 The Dodd-Frank Act: A Guide to the Corporate Governance, Executive Compensation, and Disclosure Provisions Sheppard, Mullin, Richter & Hampton LLP
Aug
14
2011
 Derivatives — Several Developments of Note Greenberg Traurig, LLP
Aug
13
2011
 Corporate Informants Could Reap Big Windfalls for Exposing Fraud Under New Whistleblower Rules Center for Public Integrity
Aug
9
2011
 SEC Delays Planned Adoption Date for Several Executive Compensation Provisions Under the Dodd-Frank Act Morgan, Lewis & Bockius LLP
Aug
8
2011
 Unclaimed Property Audits: No Laughing Matter Greenberg Traurig, LLP
Aug
7
2011
 The Future of Ratings: How rating agencies gained so much power, helped tank the economy and figure into the future of risk assessment Risk and Insurance Management Society, Inc. (RIMS)
Aug
7
2011
 U.S. Stock Market Plunge Followed Financial Stability Oversight Council Warning Center for Public Integrity
Aug
7
2011
 US Department of Labor’s OSHA announces measures to improve Whistleblower Protection Program U.S. Department of Labor
Aug
6
2011
 Stock Market Plunge Shows Need for Tough Oversight of Financial System, Reformers say Center for Public Integrity
Aug
6
2011
 The Global Stock Sell-Off and Risk Management Risk and Insurance Management Society, Inc. (RIMS)
Aug
4
2011
 SEC Adopts Large Trader Reporting System Morgan, Lewis & Bockius LLP
Aug
3
2011
 Can an Auditor Still be Independent After 100 Years on a Corporate Payroll? Center for Public Integrity
Aug
3
2011
 SEC Investigating Shale Gas Producers Greenberg Traurig, LLP
Aug
3
2011
 Same-Sex Marriage Legalized in New York: Implications for Estate and Tax Planning McDermott Will & Emery
Jul
31
2011
 Dodd-Frank: Final Whistleblower Provisions Take Effect August 12th -Is Your Company Ready? Dinsmore & Shohl LLP
Jul
30
2011
 Clarification on Requirements for Dividend-Withholding Tax Reimbursements in Italy McDermott Will & Emery
Jul
29
2011
 DC Circuit Panel Vacates Proxy Access Rule Hunton Andrews Kurth
Jul
24
2011
 D.C. Circuit Invalidates SEC's Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Jul
23
2011
 Closer to Fine: IRS Expands the Safe-Harbor for Swap Assignments to Accommodate Dodd-Frank Implementation Greenberg Traurig, LLP
Jul
22
2011
 Wall Street Uses Risk Management? Risk and Insurance Management Society, Inc. (RIMS)
Jul
22
2011
 Second Circuit Holds That the Private Securities Litigation Reform Act of 1995 Bars All RICO Claims Based Upon Alleged Acts of Securities Fraud Sheppard, Mullin, Richter & Hampton LLP
Jul
19
2011
 Is this a Security? Tamer Salameh, et al, Plaintiffs v. Tarsadia Hotels Greenberg Traurig, LLP
Jul
19
2011
 SAFE Circular 19 Provides New Operating Instructions on Foreign Exchange Administration for Round-Trip Investment in China Morgan, Lewis & Bockius LLP
Jul
19
2011
 Payments by Enron are "Settlement Payments" under the Bankruptcy Code's Safe Harbor Provisions Hunton Andrews Kurth
Jul
18
2011
 10 Social Media Must Haves For Your Corporate Compliance And Ethics Program Sheppard, Mullin, Richter & Hampton LLP
Jul
18
2011
 Investment Adviser Act Audits: OCIE Deputy Director Norm Champ Explains What Examiners Are Looking For When Conducting Examinations Greenberg Traurig, LLP
Jul
14
2011
 Your Opinion Matters: 5 Things Attorneys Should Know That Business Owners Don’t BizBuySell
Jul
14
2011
 White House threatens to veto House budget as too stingy with CFPB, SEC funding Center for Public Integrity
Jul
13
2011
 IRS Defends Discretion to Withhold Section 1256 Exchange Designation for ISOs McDermott Will & Emery
Jul
13
2011
 For Better or Worse? FTC and DOJ Remake Hart-Scott-Rodino Act Premerger Notification Form and Rules Morgan, Lewis & Bockius LLP
Jul
13
2011
 New Internal Revenue Code Section 162(m) Proposed Regulations Take Surprising Position on Restricted Stock Unit Grants Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2011
 Trade Associations Express Concern over Risks of Diverging EU and US Derivatives Regulation McDermott Will & Emery
Jul
12
2011
 New York High Court Applies the "Single-Entity Exemption" in the Securities Litigation Uniform Standards Act of 1998 Sheppard, Mullin, Richter & Hampton LLP
Jul
11
2011
 SEC Adopts Rules Exempting Venture Capital Fund Advisers from SEC Registration and Setting Forth Reporting Regime Morgan, Lewis & Bockius LLP
Jul
10
2011
 New Developments for Foreign Special Purpose Companies and Round-Trip Investment Sheppard, Mullin, Richter & Hampton LLP
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