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
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
Aug
9
2010
 Is Electing an Independent Board Member Right for Your Business? Exploring the Pros and Cons Much Shelist, P.C.
Aug
8
2010
 Summary of the Dodd-Frank Wall Street Reform Vedder Price
Aug
7
2010
 West Virginia and the Dodd-Frank Wall Street Reform and Consumer Protection Act Dinsmore & Shohl LLP
Aug
6
2010
 Rule 10b5-1 Can Be an Effective Part of a Year-end Strategy to Lock in Capital Gains at the 2010 Rate Vedder Price
Aug
6
2010
 What Financial Regulatory Reform Means to Private Funds Hunton Andrews Kurth
Aug
2
2010
 Whistleblower Provision Likely to Increase FCPA Risk Sheppard, Mullin, Richter & Hampton LLP
Aug
2
2010
 Washington Supreme Court Holds that State Statutes of Limitations Do Not Apply in Arbitration Davis Wright Tremaine LLP
Jul
30
2010
 Impact of Dodd-Frank on Corporate Governance & Executive Compensation Dinsmore & Shohl LLP
Jul
30
2010
 Ninth Circuit Holds That Safe Harbor Provision Of The Reform Act Applies To Forward-Looking Statements Accompanied By Cautionary Language And Forward-Looking Statements Made Without Actual Knowledge Of Falsity Sheppard, Mullin, Richter & Hampton LLP
Jul
29
2010
 The Regulatory March to Reform Executive Compensation Practices Takes Another Step Forward Sheppard, Mullin, Richter & Hampton LLP
Jul
27
2010
 SEC Adopts Pay-to-Play Restrictions (Rule 206(4)-5) Foley Hoag LLP
Jul
26
2010
 Whistleblowing Pays Under the Dodd-Frank Wall Street Reform Bill Risk and Insurance Management Society, Inc. (RIMS)
Jul
26
2010
 Congo Conflict Minerals Legislation Passes Congress: Affects Technology, Automotive, Mining, Jewelry, and Aerospace Companies Foley Hoag LLP
Jul
25
2010
 Congress Passes Legislation Requiring Oil, Gas and Mining Companies to Report Payments to Government Foley Hoag LLP
Jul
23
2010
 Dodd-Frank Redefines "Accredited Investor" Sheppard, Mullin, Richter & Hampton LLP
Jul
23
2010
 FINRA Files Proposed Revised Discovery Guide with SEC Cosgrove Law, L.L.C.
Jul
21
2010
 President Obama Signs Dodd-Frank Act Into Law Sheppard, Mullin, Richter & Hampton LLP
Jul
19
2010
 Sixth Circuit Court of Appeals Affirms 12-Year Sentence for Investment Adviser Convicted of Violating Investment Advisers Act Cosgrove Law, L.L.C.
Jul
17
2010
 Senate Passes Dodd-Frank Wall Street Reform and Consumer Protection Act Sheppard, Mullin, Richter & Hampton LLP
Jul
17
2010
 CFTC Finds Two Monthly Mid-C Electricity Contracts Are SPDCs Bracewell LLP
Jul
17
2010
 Congress Passes Sweeping Financial Reform Bill Michael Best & Friedrich LLP
Jul
17
2010
 Dodd-Frank Bill Reshapes Businesses Dinsmore & Shohl LLP
Jul
8
2010
 Arizona Federal District Court Holds That Securities & Exchange Commission Need Not Allege Wrongdoing On The Part Of CEO When Pursuing Reimbursement Under Section 304 Of Sarbanes-Oxley Act Sheppard, Mullin, Richter & Hampton LLP
Jul
7
2010
 Almost Ten Years After the Enron Meltdown: More Costs, More Prosecution, More Compliance? The National Law Review / The National Law Forum LLC
Jul
7
2010
 The Supreme Court’s Sarbanes-Oxley Ruling in Plain English- Free Enterprise Fund et al. v. Public Company Accounting Oversight Board et al., No. 08-861 (U.S. June 28, 2010) Risk and Insurance Management Society, Inc. (RIMS)
Jul
5
2010
 After the Supreme Court's Free Enterprise Fund Decision, Could NERC's Level of Autonomy Face a Constitutional Challenge? Bracewell LLP
Jun
29
2010
 In the Wake of The Great Recession, Federal Courts Provide Broad Statutory Interpretations in an Effort to Protect Erisa Plan Participants Cosgrove Law, L.L.C.
Jun
28
2010
 Mitigating Financial Risk With Tech — Not Regulation Risk and Insurance Management Society, Inc. (RIMS)
Jun
27
2010
 Senate and House Strike Deal on Fiduciary Duty Issue Cosgrove Law, L.L.C.
Jun
27
2010
 Is Your Investment Adviser’s Arbitration Clause Enforceable? Cosgrove Law, L.L.C.
Jun
17
2010
 AIG: A Timeline to the End of the SEC Probe Risk and Insurance Management Society, Inc. (RIMS)
Jun
15
2010
 California Court Of Appeal Applies Three-Year Limitation Under Delaware Law To Claim Against Dissolved Delaware Corporation Sheppard, Mullin, Richter & Hampton LLP
Jun
14
2010
 Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense Sheppard, Mullin, Richter & Hampton LLP
Jun
14
2010
 Sixth Circuit Reinforces Limits on Class Action Securities Litigation Dinsmore & Shohl LLP
Jun
11
2010
 Delaware Chancery Court Dismisses Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
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
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