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
19
2010
 Free Money Isn’t Free (Except When It Is) Michael Best & Friedrich LLP
Nov
17
2010
 Improving Ratings Agencies After the Financial Crisis Risk and Insurance Management Society, Inc. (RIMS)
Nov
17
2010
 Kentucky's Financial Services Industry in Transition Dinsmore & Shohl LLP
Nov
16
2010
 All About Financing the Startup Company -Starting a New Company These Days in Quite The Headwind….. The National Law Review / The National Law Forum LLC - NLR
Nov
13
2010
 Reform Reading: FDIC Gets Tough, Banks May Get Bigger Dividends Center for Public Integrity
Nov
10
2010
 Record FCPA Settlements Continue, Important Lessons To Be Learned Hunton Andrews Kurth
Nov
9
2010
 Startup Valuation Workshop Slides & Worksheets Michael Best & Friedrich LLP
Nov
9
2010
 CFTC Proposes Anti-Manipulation Rules to Implement Bracewell LLP
Nov
8
2010
 Next Wave of MBS Litigation Focuses on Issuers, Underwriters Hunton Andrews Kurth
Nov
4
2010
 New Chief of House Financial Services Takes Aim At Derivatives Center for Public Integrity
Nov
3
2010
 Time to Add a Roth Feature to Your 401(k) Plan? Poyner Spruill LLP
Nov
3
2010
 Delaware Supreme Court Clarifies Law Regarding Standing of Plaintiff-Shareholders to Bring a Post-Merger Double Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2010
 District Court Holds No D&O Insurance Coverage for Attorneys' Fees and Costs Incurred in Voluntary Response to SEC Investigation Sheppard, Mullin, Richter & Hampton LLP
Nov
1
2010
 New York's High Court Rejects Attempts to Expand Liability of Outside Professional Service Providers for Failing to Detect Corporate Fraud Sheppard, Mullin, Richter & Hampton LLP
Oct
28
2010
 How Much is That Startup in the Window. Really. Realistically Valuing a Start Up. Michael Best & Friedrich LLP
Oct
27
2010
 SEC Proposes “Family Office” Exemption Under Dodd-Frank Hunton Andrews Kurth
Oct
26
2010
 Time to Get Ready for Say-On-Pay as SEC Releases Proposed Rules Sheppard, Mullin, Richter & Hampton LLP
Oct
25
2010
 SEC Proposes Enhanced Short-Term Borrowing Disclosure Rules Hunton Andrews Kurth
Oct
25
2010
 Delaware Supreme Court Requires Credible Evidence of a "Proper Purpose" to Review a Corporation's Books and Records Sheppard, Mullin, Richter & Hampton LLP
Oct
24
2010
 SEC Issues Interpretive Guidance Regarding Liquidity and Capital Resources Disclosures Hunton Andrews Kurth
Oct
24
2010
 How Much is That Startup in the Window? -- Figuring Out How Much A Startup is Worth. Michael Best & Friedrich LLP
Oct
23
2010
 SEC Stays Proxy Access Rules Hunton Andrews Kurth
Oct
23
2010
 Back to the Future with Super Angels Michael Best & Friedrich LLP
Oct
22
2010
 Q&A: Security Information and Event Management -SIEM Risk and Insurance Management Society, Inc. (RIMS)
Oct
19
2010
 An Overview of the Hedge Fund Industry and What’s Coming Next for Hedge Funds Suffolk University Law School
Oct
16
2010
 SEC's Interpretive MC&A Guidance on Liquidity and Capital Resources and Proposed New Rules on Short-Term Borrowing Disclosure Sheppard, Mullin, Richter & Hampton LLP
Oct
15
2010
 The Impact of The Dodd-Frank Act on Public Company Executive Compensation von Briesen & Roper, s.c.
Oct
13
2010
 California Court Of Appeal Holds That Shareholders Have Standing To Pursue Derivative Actions After Dissolution Of A Corporation Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 Sheppard, Mullin, Richter & Hampton LLP
Oct
10
2010
 Second Circuit Holds That No Private Right Of Action Exists Under Section 304 Of The Sarbanes-Oxley Act Sheppard, Mullin, Richter & Hampton LLP
Oct
6
2010
 Ninth Circuit Adopts Moench Presumption in Favor of Fiduciaries Sheppard, Mullin, Richter & Hampton LLP
Oct
5
2010
 SEC Stays New Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Sep
30
2010
 ALERT: Legal Challenge To SEC's Recently Adopted Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Sep
29
2010
 Concept Release: Proxy Distribution System Bracewell LLP
Sep
28
2010
 Second Circuit Rejects Application Of "Bespeaks Caution" Doctrine To Statement Containing Both Historical And Forward-Looking Elements Sheppard, Mullin, Richter & Hampton LLP
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