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
30
2015
 Counterfeiting – Bad Business for E-Commerce Websites Sterne, Kessler, Goldstein & Fox P.L.L.C.
May
29
2015
 Second Circuit Dismisses Suit Over FBI’s Wiretapping of Marital Conversations in Securities Fraud Investigation Katten
May
29
2015
 SEC Proposes Rules to Enhance Information Reported by Investment Advisers Morgan, Lewis & Bockius LLP
May
29
2015
 Former Olympic Games Sponsor Settles With SEC for $25 Million Over FCPA Violations Katten
May
29
2015
 WSJ: Whistleblowers Claim That SEC Bounty Program Lacks Transparency Proskauer Rose LLP
May
28
2015
 Direct Investing: Considerations When Serving as a Family-Designated Director McDermott Will & Emery
May
28
2015
 Stock Repurchases: “We Can’t Think Of Anything Better To Do With Your Money” Allen Matkins Leck Gamble Mallory & Natsis LLP
May
28
2015
 Seventh Circuit Reverses $2.46 Billion Judgment in Securities-Fraud Class Action Proskauer Rose LLP
May
28
2015
 Move America Bonds – Close Enough for Government Work Squire Patton Boggs (US) LLP
May
27
2015
 Does Mandated Unbundling Deprive Stockholders The Right To Vote On The Whole? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
27
2015
 Overview of NRSRO Due Diligence Rules for Asset-backed Securities Issuers Morgan, Lewis & Bockius LLP
May
27
2015
 Audit Committee Dialogue from the PCAOB - Public Company Accounting Oversight Board Faegre Drinker
May
26
2015
 SEC Re-Examines Exclusion of Shareholder Proposals That Directly Conflict with Company Proposals; Companies Consider Preemptive Action on Proxy Access Faegre Drinker
May
26
2015
 Regulation A+ Final Rules - Securities Act Faegre Drinker
May
26
2015
 Second Circuit Narrows Scope of SLUSA Preclusion - Securities Litigation Uniform Standards Act Sheppard, Mullin, Richter & Hampton LLP
May
26
2015
 Delaware Chancery Court Holds that Creditor Plaintiffs in Derivative Suits May Satisfy Standing Requirement by Showing Corporation’s Insolvency at Time of Suit, Regardless of Later Solvency Sheppard, Mullin, Richter & Hampton LLP
May
26
2015
 SEC Explains Rationale in Forum Selection in Contested Cases Barnes & Thornburg LLP
May
26
2015
 Why Directors and Officers Should Demand a Separate Indemnification Agreement Mintz
May
26
2015
 Class Action Recovery – A Changing Landscape Mintz
May
26
2015
 Doing The Math On Delaware Derivative Settlements Allen Matkins Leck Gamble Mallory & Natsis LLP
May
26
2015
 ICMA Publishes Updated Model Sovereign Bond Clauses- International Capital Market Association Morgan, Lewis & Bockius LLP
May
26
2015
 Form BE-10 Filing Deadline Looms re: Foreign Investments by U.S. Persons Katten
May
25
2015
 CFTC Staff Issues No-Action Letters Relating to Swaps Trading Platforms in Australia Katten
May
25
2015
 CFTC Proposes to Exempt Certain Southwest Power Pool Transactions Katten
May
25
2015
 Section 16(b) Decision Provides Important Guidance Katten
May
24
2015
 FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public Katten
May
24
2015
 SEC Proposes Amendments to Form ADV and Performance Information Recordkeeping Requirements Proskauer Rose LLP
May
23
2015
 CFTC Announces Agenda For Upcoming Market Risk Advisory Committee Meeting Katten
May
22
2015
 The SEC Explains It's Rationale in Forum Selection In Contested Cases Part 1: Complaints About SEC's Forum Selection Barnes & Thornburg LLP
May
22
2015
 SEC Proposes Rules Affecting Funds and Advisers Morgan, Lewis & Bockius LLP
May
21
2015
 PCAOB Issues Its First Audit Committee Dialogue: Public Company Accounting Oversight Board ArentFox Schiff LLP
May
21
2015
 California’s Other Investment Adviser Law Allen Matkins Leck Gamble Mallory & Natsis LLP
May
20
2015
 California Assembly Committee Seeks To Fix Securities Fraud Statute Allen Matkins Leck Gamble Mallory & Natsis LLP
May
19
2015
 Delaware Supreme Court Holds That a Stockholder Plaintiff Must Plead a Non-Exculpated Claim to Avoid Section 102(b)(7)-Based Dismissal When Seeking Damages From Independent and Disinterested Directors Sheppard, Mullin, Richter & Hampton LLP
May
19
2015
 The $5 Million CAFA Question: Can You Provide Evidentiary Proof? Proskauer Rose LLP
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