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
Jun
9
2016
 Comment Period Closing July 21 on Possible Expansion of Environmental Sustainability Disclosure Requirements Beveridge & Diamond PC
Jun
9
2016
 California Federal Court Declines to Exercise Jurisdiction Over Toshiba Despite Over-the-Counter American Depositary Shares Sales in United States Mintz
Jun
9
2016
 SEC Amends Form 10-K to Permit Inclusion of Summaries Bracewell LLP
Jun
9
2016
 Two Companies Avoid FCPA Charges through NPAs that Underscore the Value of Self-Reporting and Cooperation with the SEC Faegre Drinker
Jun
8
2016
 SEC Announces Settlement with Adviser Found to Have Acted as Unregistered Broker and Engaged in Conflicted Transactions Proskauer Rose LLP
Jun
8
2016
 First Circuit Quietly Joins the “Personal Benefit” Fray Faegre Drinker
Jun
8
2016
 California DBO Proposes Finders Exemption Regulations Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2016
 SEC Sends Warning to General Partners of Funds Receiving Finders’ and Other Fees Neal, Gerber & Eisenberg LLP
Jun
6
2016
 Thanks For (Less Than) Nothing: Section 72001 of the FAST Act and the SEC’s Interim Final Rule. Morgan, Lewis & Bockius LLP
Jun
6
2016
 CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits Katten
Jun
6
2016
 Bridging Weeks: AML; DLT; Attempted Manipulation; Manipulative Device; Registration; EFRPs; Block Trades; Hedge Exemptions Katten
Jun
6
2016
 Second Circuit Affirms Dismissal of Constitutional Challenge to SEC Administrative Proceedings Faegre Drinker
Jun
4
2016
 ESMA Publishes Q&A on the Implementation of MAR Katten
Jun
3
2016
 No Bounty For Purported Tipster Proskauer Rose LLP
Jun
3
2016
 Federal Agencies Release Joint Proposed Rule on Financial Institution Incentive-Based Compensation Mintz
Jun
3
2016
 Update: Eleventh Circuit Affirms Dismissal of Claims for Declaratory Relief and Disgorgement in SEC v. Graham Faegre Drinker
Jun
2
2016
 SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration Katten
Jun
2
2016
 Mutual Fund Directors Must Be Vigilant in Addressing Risks Foley & Lardner LLP
Jun
2
2016
 SEC Continues Focus on Conflicts of Interest and Adviser Fiduciary Duties Foley & Lardner LLP
Jun
2
2016
 Insider-Trading Prosecutions Continue Post-Newman: USAO/SDNY and SEC Press Charges Against Ex-Barclays Director and Plumber Faegre Drinker
Jun
2
2016
 SEC Provides Relief From Custody Requirements for Sub-Advisers Foley & Lardner LLP
Jun
2
2016
 Does The SEC’s New Form 10-K Rule Create A New Disclosure Standard? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
1
2016
 Application of the Joint Proposed Incentive Compensation Rule to Investment Advisers Proskauer Rose LLP
Jun
1
2016
 Eleventh Circuit Rules Disgorgement No Different Than Forfeiture, Barring SEC From Seeking Ill-Gotten Gains Outside Five-Year Limitations Period Proskauer Rose LLP
Jun
1
2016
 The Scope Of Stockholder Inspection In California And Delaware Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
1
2016
 IRS Issues Guidance on Money Market Fund Top-Up Contributions Faegre Drinker
May
31
2016
 SEC Announces Third-Highest Award Ever to Whistleblower Jackson Lewis P.C.
May
29
2016
 European Commission Adopts MiFID II Delegated Regulations Katten
May
28
2016
 $3.5 Million Awarded to Whistleblower Who Was Initially Rebuffed by SEC Faegre Drinker
May
27
2016
 SEC Releases Target Dates for Proposed and Final Rulemaking Katten
May
27
2016
 Wine, Steak, and Massage Parlors Are Personal Benefits for Insider Trading Proskauer Rose LLP
May
27
2016
 Senators Warren and Cotton Misled by Misleading Report on Broker Check Stark & Stark
May
27
2016
 SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative Katten
May
27
2016
 Will The Rise Of Tweener Corporations Increase Focus On California’s Annual Report Statute? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
26
2016
 Incentive Stock Options vs. Nonqualified Stock Options – A General Summary Greenberg Traurig, LLP
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