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
Jan
28
2012
 Higher Filing Thresholds for HSR Act Premerge Notifications and Interlocking Directorates Announced Sheppard, Mullin, Richter & Hampton LLP
Jan
26
2012
 EU Comprehensive Data Protection Reform Announcement This Week (UPDATE) Mintz
Jan
25
2012
 FTC Raises Hart-Scott-Rodino Thresholds Morgan, Lewis & Bockius LLP
Jan
24
2012
 Spotlight on Pay For Performance Intensifies as ISS Releases New Evaluation Methodology for 2012 Proxy Season Sheppard, Mullin, Richter & Hampton LLP
Jan
22
2012
 Removing the Ban on General Solicitations Gaining Momentum Mintz
Jan
20
2012
 Preparation for 2011 Fiscal Year SEC Filings and 2012 Annual Shareholder Meetings Mintz
Jan
20
2012
 New NJ Law Provides Corporate Tax Credits To Foster Job Creation Giordano, Halleran & Ciesla, P.C.
Jan
19
2012
 The Entrepreneur Access to Capital Act and What It Could Mean for Startups Sheppard, Mullin, Richter & Hampton LLP
Jan
17
2012
 Further Relief on Section 6045B Reporting Sheppard, Mullin, Richter & Hampton LLP
Jan
16
2012
 CFTC Interim Rule Limits Futures and Swaps Positions; Challenge Filed, Delay Rejected McDermott Will & Emery
Jan
15
2012
 Third IRS Offshore Initiative Offers Taxpayers Another Chance to Come Clean as IRS Increases its International Tax Enforcement Greenberg Traurig, LLP
Jan
14
2012
 SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Jan
13
2012
 SEC Adopts Revised Net Worth Standard for Accredited Investors Hunton Andrews Kurth
Jan
13
2012
 ISS Updates Proxy Voting Guidelines for 2012 McDermott Will & Emery
Jan
12
2012
 Update on New Reporting Rules for Stock Splits, Recapitalizations, Mergers and Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Jan
11
2012
 SEC Adopts Mine Safety Disclosure Rules Hunton Andrews Kurth
Jan
11
2012
 ISS Publishes Guidance on New Methodology for Evaluating Pay-for-Performance Alignment and Updates to its Governance Risk Indicators Hunton Andrews Kurth
Jan
11
2012
 Regulatory Update: SEC Adopts Final Rules Defining "Accredited Investor" Consistent with Dodd-Frank Sheppard, Mullin, Richter & Hampton LLP
Jan
10
2012
 Community Banks and Compliance with FINRA Rule 6490 Dinsmore & Shohl LLP
Jan
8
2012
 China Issues New Foreign Investment Industrial Guidance Catalogue McDermott Will & Emery
Jan
7
2012
 SEC Toughens Listing Requirements for Reverse Merger Companies Sheppard, Mullin, Richter & Hampton LLP
Jan
6
2012
 New York High Court Holds That State Blue Sky Law Does Not Preempt Common Law Claims Involving Securities Sheppard, Mullin, Richter & Hampton LLP
Jan
1
2012
 Judges’ New Scrutiny of Settlements May Make Life Difficult for Defendants Ifrah Law
Dec
21
2011
 OSHA’s Revision of Sarbanes-Oxley Whistleblower Regulations McDermott Will & Emery
Dec
20
2011
 Preparing for the 2012 Proxy Season Dinsmore & Shohl LLP
Dec
20
2011
 IRS Offers Temporary Relief to IRA Owners; Awaits DOL Guidance Morgan, Lewis & Bockius LLP
Dec
19
2011
 Three Ways to Stay Ahead of the SEC Cyberthreat Disclosure Mandate Risk and Insurance Management Society, Inc. (RIMS)
Dec
16
2011
 SEC Staff Limits Ability of Foreign Issuers to Submit Draft Filings on Confidential Basis McDermott Will & Emery
Dec
16
2011
 Time Line: A Year of Financial Institution Fines Risk and Insurance Management Society, Inc. (RIMS)
Dec
12
2011
 Delaware Supreme Court Clarifies Scope of Relief a Shareholder is Entitled For Inspection of Corporate Books And Records Pursuant To A Section 220 Demand Sheppard, Mullin, Richter & Hampton LLP
Dec
3
2011
 Using the Internet to Your Company's Advantage in Defending Against A Whistleblower Action Sheppard, Mullin, Richter & Hampton LLP
Dec
2
2011
 Judge in Citigroup Case has Bucked Trend of Rubber Stamping SEC Settlements Center for Public Integrity
Dec
2
2011
 ISS Publishes 2012 Updates to Benchmark U.S. Proxy Voting Guidelines Hunton Andrews Kurth
Nov
29
2011
 SEC Approves More Rigorous Listing Requirements of the Major U.S. Stock Exchanges for Reverse Merger Companies McDermott Will & Emery
Nov
26
2011
 Best Practices for CEOs to Build Compliant Organizations Greenberg Traurig, LLP
Nov
21
2011
 ISS Releases 2012 Updates to Proxy Voting Guidelines Morgan, Lewis & Bockius LLP
Nov
21
2011
 Treasury Department Issues Final Regulations Clarifying Federal Income Tax Treatment of an Exchange of Partnership Debt for an Equity Interest in the Partnership Greenberg Traurig, LLP
Nov
21
2011
 DOL to Re-Propose “Fiduciary” Definition Regulation in Wake of Considerable Criticism McDermott Will & Emery
Nov
18
2011
 SEC Approves Additional Listing Requirements for Reverse Merger Companies Greenberg Traurig, LLP
Nov
18
2011
 Federal Agencies Looking Closely at Municipal Bonds: What You Need to Know Hunton Andrews Kurth
Nov
17
2011
 Recent SEC Guidance and Upcoming Amendments to California and Illinois Statutes Affect Data Breach Disclosure Obligations Morgan, Lewis & Bockius LLP
Nov
14
2011
 DOJ and SEC Affirm Continued Commitment to Rigorous FCPA Enforcement Morgan, Lewis & Bockius LLP
Nov
14
2011
 Derivatives — Congress Introduces Legislation to Clarify Extra-Territorial Reach of Dodd-Frank Swap Rules Greenberg Traurig, LLP
Nov
13
2011
 CFTC Launches Whistleblower Program: Dodd-Frank Update Greenberg Traurig, LLP
Nov
13
2011
 SEC Staff Grants No-Action Relief on Compliance with ERISA Disclosure Rule Morgan, Lewis & Bockius LLP
Nov
12
2011
 Recent Supreme Court Decisions That Will Shape Class Action Practice Morgan, Lewis & Bockius LLP
Nov
11
2011
 All in the Family: Application of the SEC’s Family Office Rule ArentFox Schiff LLP
Nov
11
2011
 Form PF Will Result in Substantial Reporting Requirements for Registered Advisers to Private Funds Morgan, Lewis & Bockius LLP
Nov
9
2011
 IRS Extends Carrot to Issuers of Tax-Advantaged Bonds to Encourage Adoption of Post-Issuance Compliance Procedures Greenberg Traurig, LLP
Nov
8
2011
 Janus Capital Group, Inc. v. First Derivative Traders: Supreme Court Rules Regarding Liability of Secondary Actors Vedder Price
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