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
Jul
9
2016
 Eleventh Circuit Limits SEC Look-Back Period and Sets Up Circuit Split ArentFox Schiff LLP
Jul
8
2016
 SEC Proposes Amendments to Definition of ‘Smaller Reporting Company’ Katten
Jul
8
2016
 SEC Whistleblower Chief Sean McKessy to Leave, Agency Announces Proskauer Rose LLP
Jul
8
2016
 SEC Issues Proposed Rules to Increase Financial Thresholds Applicable to Smaller Reporting Companies Michael Best & Friedrich LLP
Jul
8
2016
 Class A Is Class A and Class B Is Class B And Shall Ever The Twain Meet? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
7
2016
 SEC Proposes New Rules That Would Make Available Scaled Disclosure to More Companies McDermott Will & Emery
Jul
7
2016
 SEC Proposes to Expand Qualification for Smaller Reporting Companies Giordano, Halleran & Ciesla, P.C.
Jul
7
2016
 NASD Rule 1032(f): New FINRA Proposed Rule Faegre Drinker
Jul
7
2016
 SEC Smaller Reporting Company Definition: Bigger Is New ‘Smaller’ Morgan, Lewis & Bockius LLP
Jul
7
2016
 Is Certiorari Possibility For SLUSA Question Not Addressed By Any Federal Circuit Court? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
5
2016
 California Legislature Mulls Anti-Short Selling Bill Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
30
2016
 New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers Greenberg Traurig, LLP
Jun
30
2016
 SEC Proposal Would Require Business Continuity and Transition Plans for Investment Advisers Cadwalader, Wickersham & Taft LLP
Jun
30
2016
 U.S. Targets Private Equity Funds for FCPA Scrutiny Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2016
 SEC Steps Up Cybersecurity Enforcement with $1 Million Fine Against Morgan Stanley Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2016
 Does “Valid When Made” Apply To Evidences Of Indebtedness Qualified Under Corporate Securities Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
29
2016
 SEC Declines To Define “Mineral” In Resource Extraction Rule But Then Defines It Anyway Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
28
2016
 Structuring Equity Interests for Independent Sponsors Katten
Jun
28
2016
 Whistleblower Concerns for Private Fund Advisers – Seven Mistakes To Avoid Proskauer Rose LLP
Jun
28
2016
 SEC Approves Adjustments to Dollar Amount Tests for Performance Compensations Faegre Drinker
Jun
27
2016
 SEC Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2016
 Funds Receive Auditor Independence Relief From SEC Faegre Drinker
Jun
27
2016
 Securities and Exchanges Commission Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2016
 Bridging the Week: Brexit; Reg AT; Reserve and Control; Hacking; Manipulation; Block Trades; EFRPs Katten
Jun
27
2016
 SEC Levies Disgorgement and Civil Penalties for Violations of Consumer Protection Rule and Dodd-Frank Whistleblower Protection Rule Faegre Drinker
Jun
26
2016
 EU Market Abuse Regulation Delegated Regulation on Abusive Practices and Suspicious Orders and Transactions Published Katten
Jun
24
2016
 SEC Proposes Rules Updating Mining Registrant Disclosure Requirements Katten
Jun
24
2016
 SEC Announces Self-Reporting Initiative for Broker-Dealers Who Have Failed To Comply With Its Customer Protection Rule Katten
Jun
23
2016
 SEC Approves IEX as a National Securities Exchange and Issues Interpretation To Allow IEX "Speed Bump" Katten
Jun
23
2016
 SEC Adopts Higher Net Worth Threshold for Qualified Clients under the Advisers Act Proskauer Rose LLP
Jun
23
2016
 SEC Adopts Rule Permitting Use of Form 10-K Summary Hunton Andrews Kurth
Jun
22
2016
 Tenth Circuit Highlights Difference Between Delaware And Nevada Exculpatory Statutes Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
21
2016
 Third-Party Service Provider to Private Equity Funds Pays More Than $350,000 for Gatekeeping Failures Faegre Drinker
Jun
20
2016
 U.S. Court of Appeals to Consider Class-Certification Ruling in Petrobras Securities Litigation Proskauer Rose LLP
Jun
20
2016
 Bridging the Week: Who’s a Customer?; Front-Running; Spoofing; Block Trades; Red Flags Katten
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins