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
Jun
3
2011
 New SEC Rules Pay Rewards to Whistleblowers Armstrong Teasdale
May
31
2011
 SEC Adopts Final Rules on Dodd-Frank Whistleblower Program McDermott Will & Emery
May
30
2011
 Final Dodd-Frank Whistleblower Rules Do Not Mandate Internal Reporting; May Dramatically Reshape FCPA Enforcement Morgan, Lewis & Bockius LLP
May
29
2011
 Patent Rights and Attracting Investors Michael Best & Friedrich LLP
May
28
2011
 The Dodd-Frank Act's Impact on Pension Plan Investment Options McDermott Will & Emery
May
26
2011
 In Setback for Corporate Lobbyists, Whistleblowers Can Take Tips First to Government Investigators Center for Public Integrity
May
25
2011
 SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions: Important Implications for Covered Entities Morgan, Lewis & Bockius LLP
May
21
2011
 Risk Management in the Post-Madoff Era of Fraud Risk and Insurance Management Society, Inc. (RIMS)
May
16
2011
 Would Companies Drop Compensation Committees to Evade SEC Rule?- Financial reform this week Center for Public Integrity
May
12
2011
 CFTC Proposes a Swap Product Definition and Capital Requirements Under Dodd-Frank Bracewell LLP
May
10
2011
 The New DOJ Working Group and What It Means to the Oil and Gas Industry Hunton Andrews Kurth
May
10
2011
 Senate Hearing to Examine Systemic Risk Response: Financial Reform this Week Center for Public Integrity
May
9
2011
 Department of Labor Proposes Additional Disclosure Rules for QDIAs and TDFs McDermott Will & Emery
May
2
2011
 For All the Blame, Credit Raters Still Count on Big Banks for Support- Documents Show Financial Giants Lobbying to Keep Role for Rating Agencies Center for Public Integrity
Apr
29
2011
 Oil and Gas Fraud Working Group to Focus on Energy Markets Bracewell LLP
Apr
28
2011
 FERC Issues $30 Million Penalty for Alleged Violations of Anti-Manipulation Rule Morgan, Lewis & Bockius LLP
Apr
28
2011
 CFTC & Fed Propose Margin Rules Under Dodd-Frank: Banks To Be Barred from Accepting Non Cash Collateral Bracewell LLP
Apr
25
2011
 SEC Proposes Rules for Compensation Committees and Compensation Advisers Hunton Andrews Kurth
Apr
23
2011
 FTC and CFTC to Share Confidential Information, Increases Investigation Risks McDermott Will & Emery
Apr
18
2011
 Data Shows Deutsche Bank Was Key patron of Questionable Mortgage Lenders - Senate Report Reveals More of Bank's Toxic Deals Center for Public Integrity
Apr
17
2011
 “Sunshine is the Best Disinfectant”: A Financial Advisory Update McDermott Will & Emery
Apr
15
2011
 Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2011
 Making Banks Pay for Madoff’s Fraud Risk and Insurance Management Society, Inc. (RIMS)
Apr
14
2011
 Bouncing Around the Federal Securities Laws Michael Best & Friedrich LLP
Apr
13
2011
 The “Wall Street Mind” and “Too Big to Fail” Risk and Insurance Management Society, Inc. (RIMS)
Apr
12
2011
 Three Things to Know About Dodd-Frank Risk and Insurance Management Society, Inc. (RIMS)
Apr
9
2011
 Start Up Companies --- Grant Money: When “Free” is not “Free” Michael Best & Friedrich LLP
Apr
8
2011
 Southern District of New York Judge Applies Morrison to Dismiss Federal Securities Claims Brought by U.S. Investors Against the Royal Bank of Scotland Vedder Price
Apr
7
2011
 Foreign Corrupt Practices Act Trends Vedder Price
Apr
6
2011
 SEC Aggressively Targets Insider Trading and Expert Networks Vedder Price
Apr
5
2011
 Supreme Court Determines Materiality Standard for Adverse Event Reports Vedder Price
Apr
4
2011
 Janus Capital Group v. First Derivative Traders: Supreme Court to Decide Key Questions Regarding Secondary Actor Liability Vedder Price
Apr
3
2011
 Second Circuit Affirms the Importance of Adequately Pleading Loss Causation in Securities Fraud Claims Vedder Price
Apr
2
2011
 SEC Continues to Regulate and Claw Back Incentive-Based Compensation Vedder Price
Mar
31
2011
 Pharmaceutical and Other Companies Beware: New Supreme Court Decision Weighs in on Adverse Event Reports and Potential Liability Under Federal Securities Laws Squire Patton Boggs (US) LLP
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