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
Nov
23
2013
 Commodity Futures Trading Commission (CFTC) Issues Final Rules for Systemically Important Derivatives Clearing Organizations Katten
Nov
23
2013
 Failure To Name Primary Violator Doesn’t Doom Class Action Against Secondary Actors Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
23
2013
 Commodity Futures Trading Commission (CFTC) Provides Relief for Intended-to-Be-Cleared Swaps Katten
Nov
22
2013
 Chicago Mercantile Exchange Issues Advisory Notice on Wash Trades Katten
Nov
22
2013
 UK High Court Clarifies Scope of Directors’ Duties Morgan, Lewis & Bockius LLP
Nov
22
2013
 SEC Chair Mary Jo White Outlines Potential Changes to “Accredited Investor” Definition Katten
Nov
22
2013
 Delaware Chancery Court Permits Shareholder to Bring Fiduciary Claim for Board’s Violation of a Stock Incentive Plan Katten
Nov
22
2013
 Senior U.S. Officials Discuss Foreign Corrupt Practices Act (FCPA) Enforcement Trends and Activity Morgan, Lewis & Bockius LLP
Nov
21
2013
 The Consumer Financial Protection Bureau (CFPB), Recent Developments: November 11 – November 15, 2013 Greenberg Traurig, LLP
Nov
21
2013
 SEC (Securities and Exchange Commission) Announces First Deferred-Prosecution Agreement with an Individual Faegre Drinker
Nov
21
2013
 Texas Supreme Court Petitioned To Review Allegedly Improper Characterization Of Life Settlements As Securities Faegre Drinker
Nov
20
2013
 Delaware Embraces General Solicitation Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
20
2013
 FINRA's (Financial Industry Regulatory Authority, Inc.) New 'New' Discovery Guide: E-Discovery, Affirmations and Product Cases Greenberg Traurig, LLP
Nov
19
2013
 The Scoop on Revenue Sharing Faegre Drinker
Nov
19
2013
 The Supreme Court Agrees to Revisit “Fraud on the Market” Barnes & Thornburg LLP
Nov
18
2013
 An Unexpected Impasse Revisited - California Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
18
2013
 The Consumer Financial Protection Bureau (CFPB), Recent Developments: November 4, 2013 – November 8, 2013 Greenberg Traurig, LLP
Nov
17
2013
 Dodd-Frank Whistleblower Protection: For America Only Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2013
 Office of the Comptroller of the Currency (OCC) Publishes Standards on the Use of an Independent Consultant Katten
Nov
16
2013
 Why Can’t Government Play By The Same Rules As Hoi Polloi? Re: California Securities Fraud Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
15
2013
 Class Action Trends [VIDEO] Mintz
Nov
15
2013
 Second Circuit Says Injured Investors Lack Standing to Challenge Release of Fair Funds to US Treasury Katten
Nov
15
2013
 SEC Division of Corporation Finance Issues 11 New C&DIs (Compliance and Disclosure Interpretations) Katten
Nov
15
2013
 Tryin’ to Make a Dollar out of Fifteen Cents: The Diebold Foreign Corrupt Practices Act (FCPA) Settlement Explains What Officials Did on Their Vacation Sheppard, Mullin, Richter & Hampton LLP
Nov
15
2013
 Investment Services Regulatory Update - November 2013 Vedder Price
Nov
12
2013
 Just Who Is A Promoter And Why You May Want To Know Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
9
2013
 Foreign Listed Stock Index - Futures and Options Approvals Katten
Nov
9
2013
 Setting The Record Straight On The New General Solicitation Rules Sheppard, Mullin, Richter & Hampton LLP
Nov
7
2013
 The Benefits of Mandatory Distributions: A White Paper Faegre Drinker
Nov
7
2013
 California Court of Appeal Holds That Challenges to Corporate Elections Under Corporations Code Section 709 May Be Predicated Upon Breach of Fiduciary Duty and Conflict of Interest Allegations Sheppard, Mullin, Richter & Hampton LLP
Nov
6
2013
 The Consumer Financial Protection Bureau (CFPB), October 28, 2013 - November 1, 2013 Greenberg Traurig, LLP
Nov
6
2013
 SEC (Securities and Exchange Commission) Proposes New Crowdfunding Rules Womble Bond Dickinson (US) LLP
Nov
5
2013
 CalPERS Files Amicus Brief In Titanomachy With San Bernardino Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
5
2013
 Fiduciary Obligation to Select Appropriate Share Classes Faegre Drinker
Nov
4
2013
 Tender Of Inflated Price Under Right Of First Refusal Does, And Doesn’t, Confer Standing in California Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
4
2013
 Financial Services Legislative and Regulatory Update - November 4, 2013 Mintz
Nov
3
2013
 Selecting an Annuity Provider: Part III Faegre Drinker
Nov
3
2013
 Variable Annuity Contracts May Require Continuing Attention – What Broker-Dealers Need to Know Faegre Drinker
Nov
2
2013
 Commodity Futures Trading Commission (CFTC) CFTC Adopts Rules Regarding the Protection of Collateral and Treatment of Securities in a Portfolio Margining Account in a Bankruptcy Katten
Nov
2
2013
 How To Get A Request For An Interpretive Opinion Rejected Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
2
2013
 New Jersey District Court Dismisses a Shareholder Suit for Failing to Plead Scienter Katten
Nov
2
2013
 The Role of Managed Payout Funds in Retirement Faegre Drinker
Nov
1
2013
 Yellen Appointment at the Federal Reserve Seen as a Positive for Startups Greenberg Traurig, LLP
Nov
1
2013
 The Consumer Financial Protection Bureau (CFPB), Recent Developments: October 21, 2013 - October 25, 2013 Greenberg Traurig, LLP
Oct
31
2013
 Crowdfunding Moves Forward: The Securities and Exchange Commission (SEC) Issues Proposed Rules on Crowdfunding Sheppard, Mullin, Richter & Hampton LLP
Oct
30
2013
 SEC Finally Issues Proposed Rules on Crowdfunding Michael Best & Friedrich LLP
Oct
30
2013
 Federal Reserve Board Proposes Stricter Bank Liquidity Rules Morgan, Lewis & Bockius LLP
Oct
30
2013
 North American Securities Administrators Association (NASAA) Supports Regulatory Relief For M&A Brokers Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
29
2013
 The California Corporations Code – Where The Dead Live On Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
28
2013
 Securities and Exchange Commission (SEC) Awards $14 Million to Whistleblower Sheppard, Mullin, Richter & Hampton LLP
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