Securities & SEC

The National Law Review provides the latest free no-login legal news on transactions and other dealings with securities. Our coverage includes actions under the Securities Exchange Act of 1934 and by the Securities and Exchange Commission ("SEC"), and the Commodity Futures Trading Commission ("CFTC"). Topics examined include cybersecurity requirements for investment advisers and financial institutions, insider trading, conflict minerals, securities fraud, commodities regulation, the SEC pay-to-play rule, the EB-5 Immigrant Investor Program, as well as securities litigation. Our coverage also includes information from around the globe including from the European Securities and Markets Authority ("ESMA") and Australian Securities and Investments Commission ("ASIC").

Date	Title	Organization
9 Mar	Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor	Sheppard, Mullin, Richter & Hampton LLP
21 Jul	SEC to Announce Largest SEC Whistleblower Award to Date	Zuckerman Law
21 Jul	SEC Chairman Clayton Makes First Public Speech Outlining His Vision for the Commission	Katten Muchin Rosenman LLP
21 Jul	Shares of Foreign Subsidiaries	Allen Matkins Leck Gamble Mallory & Natsis LLP
20 Jul	Delaware Court of Chancery Holds Stockholder not Bound by Stock Transfer Restrictions not Noted on Stock Certificates	K&L Gates
20 Jul	Case Of Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned	Allen Matkins Leck Gamble Mallory & Natsis LLP
19 Jul	Chairman Clayton Outlines His “Guiding Principles” for SEC	Vedder Price
17 Jul	Can I submit a tip to the SEC Whistleblower Office if I was involved in the fraud or misconduct?- Chapter 7	Zuckerman Law
17 Jul	Who Is An Eligible SEC Whistleblower?- Chapter 6	Zuckerman Law
17 Jul	ESMA Updates AIFMD and UCITS Q&As	Katten Muchin Rosenman LLP