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
May
25
2010
 Use Of Social Media Web Sites By Broker Dealers Baker Donelson Bearman Caldwell & Berkowitz, PC
May
19
2010
 Proposed Amendments to Rule 10b-18 Issuer Repurchase Safe Harbor Dinsmore & Shohl LLP
May
17
2010
 SEC Adopts Madoff-Inspired Custody Rules for Investment Advisers Dinsmore & Shohl LLP
May
17
2010
 Finding Optimism in the Private Equity and Venture Capital Markets Much Shelist, P.C.
May
15
2010
 Collateralization of Swap Obligations in Leveraged Financings Vedder Price
Apr
27
2010
 Insolvency Exclusion Bars Coverage for Madoff Related Suit Goldberg Segalla LLP
Apr
9
2010
 DOJ and SEC Will Significantly Increase FCPA Enforcement Efforts McDermott Will & Emery
Mar
5
2010
 Roth IRAs: The Conversion Decision Much Shelist, P.C.
Feb
19
2010
 Insurer Required to Defend Directors and Officers Against Ponzi Claims (Pendergest-Holt v. Certain Underwriters at Lloyd's of London) Goldberg Segalla LLP
Feb
3
2010
 FINRA Issues Guidance on Social Media Web Sites Morgan, Lewis & Bockius LLP
Jan
29
2010
 Divided SEC Adopts Guidance on Climate Disclosure, But Uncertainty Remains Bracewell LLP
Jan
6
2010
 SEC Amends Rules on Proxy Disclosure, Corporate Governance and Executive Compensation Baker Donelson Bearman Caldwell & Berkowitz, PC
Dec
1
2009
 Fundamentals of Commercial and Standby Letters of Credit Dykema Gossett PLLC
Nov
30
2009
 Hedge Funds Join “the CEO’s Brother-in-Law” as the Target of Insider Trading Cases Foley Hoag LLP
Nov
30
2009
 It's Plan Amendment Time Again Ford & Harrison LLP
Oct
5
2009
 Managing Sales by Distressed Private Equity Investors Stroock & Stroock & Lavan LLP
Sep
16
2009
 TRANSAMERICA LIFE FOUND TO INFRINGE “BUSINESS METHOD PATENT” ON VARIABLE ANNUITIES Clark Hill PLC
Sep
14
2009
 NEW YORK TRIAL COURT DENIES INSURED’S CLAIM FOR ATTORNEYS FEES AND COSTS PAID IN CONNECTION WITH THE SETTLEMENT OF PUBLIC INVESTIGATIONS FOR “MARKET TIMING” OF MUTUAL FUNDS Clark Hill PLC
Sep
2
2009
 New IRS Revenue Rulings: Amount and Character of Income on Life Insurance Contracts Stroock & Stroock & Lavan LLP
Aug
31
2009
 FINRA Issues New Guidance on Variable Life Settlement Transactions Morris Manning & Martin, LLP
Aug
15
2009
 What is a Security? Poyner Spruill LLP
Jul
7
2009
 Recent Developments in Legal Ethics, January 2005 Fairfield and Woods P.C.
Jun
6
2009
 Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Jun
5
2009
 Roundtable: Part II – Corporate Internal Investigations: Later Stages
Jun
5
2009
 Roundtable: Part I – Corporate Internal Investigations: Early Stages
Jun
2
2009
 What The “Subprime Crisis” Really Means For Your Business
May
26
2009
 Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests Much Shelist, P.C.
May
19
2009
 Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies Much Shelist, P.C.
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