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
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
Sep
27
2010
 CFTC to Address Requirements for Reporting of Pre-Enactment Swaps Bracewell LLP
Sep
25
2010
 Major Reforms to Affect Companies, Financial Institutions Dinsmore & Shohl LLP
Sep
24
2010
 NYSE Commission: Boards’ Focus Should be Long-term Risk and Insurance Management Society, Inc. (RIMS)
Sep
20
2010
 Third Circuit Rejects the "Fraud-Created-The-Market" Theory of Reliance in a Section 10(B) Private Securities Fraud Action Sheppard, Mullin, Richter & Hampton LLP
Sep
17
2010
 Proxy Access Notice Dates For 2011 Proxy Season Established Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 - Impacts Compliance and Ethics Programs. Sheppard, Mullin, Richter & Hampton LLP
Sep
11
2010
 SEC v. Tambone: First Circuit Rejects the SEC’s Broad Interpretation of Rule 10b-5 Vedder Price
Sep
10
2010
 Supreme Court Sheds Light on Limitations Period for Section 10(b) Violations - Merck & Co. v. Reynolds Vedder Price
Sep
9
2010
 D&O Insurance in the Land Down Under as Security Class Action Lawsuits are on the Rise. Risk and Insurance Management Society, Inc. (RIMS)
Sep
9
2010
 SEC Uses Section 304 to Claw Back Incentive-Based Compensation from “Innocent” Executives - SEC v. O’Dell & SEC v. Jenkins Vedder Price
Sep
8
2010
 Supreme Court Limits Scope of “Honest Services” Statute - Skilling v. United States Vedder Price
Sep
8
2010
 Top Legal Mistakes Entrepreneurs Make: 83(b) Tax Elections Michael Best & Friedrich LLP
Sep
7
2010
 Wall Street Reform Legislation Creates New Diversity Requirements for Government Contractors Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2010
 Dodd-Frank: What Non-Financial Foreign Private Issuers Need to Know Sheppard, Mullin, Richter & Hampton LLP
Sep
2
2010
 New York State Amends Power of Attorney Law Sheppard, Mullin, Richter & Hampton LLP
Aug
31
2010
 Ninth Circuit Rejects Private Right Of Action To Enforce Section 13(a) Of The Investment Company Act Of 1940 Sheppard, Mullin, Richter & Hampton LLP
Aug
30
2010
 Third Circuit Holds That Mixed Present/Future Statements Are Protected By Reform Act Safe Harbor Sheppard, Mullin, Richter & Hampton LLP
Aug
30
2010
 Municipal Bond Offerings: SEC Charges State of New Jersey for Fraudulent Municipal Bond Offerings Hunton Andrews Kurth
Aug
28
2010
 SEC Adopts Mandatory Proxy Access Rule for Shareholder Director Nominations -- Applicable for 2011 Proxy Season Sheppard, Mullin, Richter & Hampton LLP
Aug
27
2010
 D.C. Circuit Vacates Proposed Fee For NYSE Arca "Depth-Of-Book" Data And Remands To SEC For Further Review Sheppard, Mullin, Richter & Hampton LLP
Aug
26
2010
 CFTC Fines ConAgra $12 Million, Two Commissioners Dissent Bracewell LLP
Aug
24
2010
 Registered Public Offerings Of Debt Securities And The Use Of Credit Ratings Information In SEC Filings After Dodd-Frank Sheppard, Mullin, Richter & Hampton LLP
Aug
21
2010
 U.K.'s Sweeping Anti-Corruption Legislation Increases Risk For Businesses Sheppard, Mullin, Richter & Hampton LLP
Aug
21
2010
 The Transparency Monster Strikes Again: New Reporting Requirements For Executive Compensation And First-Tier Subcontract Awards Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2010
 Ninth Circuit Holds That Scienter May Be Established Through An Objective Evaluation Of A Defendant's Deliberate Recklessness Sheppard, Mullin, Richter & Hampton LLP
Aug
17
2010
 Demand for Oil Companies To Prove Disaster Preparedness Risk and Insurance Management Society, Inc. (RIMS)
Aug
17
2010
 Blowing the Whistle on the New Whistleblower Protections Created by the Dodd-Frank Act Bracewell LLP
Aug
17
2010
 Attention Investment Advisers: Plain English Brochure Rule Adopted Dinsmore & Shohl LLP
Aug
16
2010
 Regulatory Impact of Dodd-Frank Bill on Investment Advisers and Fund Managers Dinsmore & Shohl LLP
Aug
13
2010
 2010 Mid-Year Securities Litigation Reports That New Federal Securities Class Action Filings Continue To Decline, Returning To Pre-Recession Levels Sheppard, Mullin, Richter & Hampton LLP
Aug
10
2010
 Tweeting Earnings: Bad for Your Company? Risk and Insurance Management Society, Inc. (RIMS)
Aug
10
2010
 The New Consumer Financial Protection Bureau Will Impact Community and Regional Banks Dinsmore & Shohl LLP
Aug
9
2010
 Dodd-Frank Act Raises Major Executive Compensation Issues Vedder Price
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