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.

Date	Title	Organization
9 Mar	Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor	Sheppard, Mullin, Richter & Hampton LLP
15 Oct	Bridging the Weeks by Gary DeWaal: October 1 - 12 and October 15, 2018 (Self-Reporting Pays; Costly Cyber-Attack; No Systemic Threat by Crypto-Assets)	Katten Muchin Rosenman LLP
15 Oct	SEC Adopts Amendments to Rule 15c2-12	Bracewell LLP
14 Oct	New 20% Rule Offers Greater Clarity and Flexibility for Nasdaq-listed Companies	Proskauer Rose LLP
13 Oct	The Long Wait Is Not Over, but the SEC Advances its Security-Based Swap Dealer Rules and Reopens the Comment Period for Capital and Margin Requirements for Security-Based Swap Dealers	Covington & Burling LLP
12 Oct	Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation	Cadwalader, Wickersham & Taft LLP
12 Oct	ESMA Publishes Opinion on Position Limits on UK Natural Gas Contracts Proposed by the FCA	Katten Muchin Rosenman LLP
11 Oct	SEC Charges Broker-Dealer/Adviser With Inadequate Cybersecurity Procedures	Katten Muchin Rosenman LLP
10 Oct	Compliance Risks from Local Content Requirements – Considerations for Doing Business in Africa	Covington & Burling LLP
10 Oct	U.S. District Court Holds that Certain Claims by Opt-Out Plaintiffs Are Barred by the Statute of Repose	Mintz

October 15, 2018

Securities Exchange Commission

CFTC & FINRA

Securities around the World

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