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
7
2011
 Securities and Exchange Commission Adopts Final Whistleblower Rules under the Dodd-Frank Act; Internal Reporting Encouraged but Not Required Hunton Andrews Kurth
Jul
5
2011
 Legislative Alert: TWIA Finance Opportunities Under Texas Senate Bill 3 Hunton Andrews Kurth
Jul
4
2011
 Clamping Down on Kleptocrats -How Financial Firms Can Help Stamp Out Global Corruption. Risk and Insurance Management Society, Inc. (RIMS)
Jul
2
2011
 SEC Adopts New Private Fund Adviser, Venture Capital, Foreign Private Adviser and Family Office Registration and Exemption Requirements Vedder Price
Jun
30
2011
 Tips for Good Corporate Governance Risk and Insurance Management Society, Inc. (RIMS)
Jun
30
2011
 IRS Issues Proposed Regulations Clarifying Performance-Based Equity Compensation Exception to Section 162(m) Morgan, Lewis & Bockius LLP
Jun
29
2011
 Bank of America, which spent $4 billion to buy Countrywide, now must pay $8.5 billion settlement to Countrywide investors Center for Public Integrity
Jun
29
2011
 Two More Extensions: IRS and FinCEN Issue Extensions for Certain FBAR Filers in IRS Notice 2011-54 and FinCEN Notice 2011-2 Morgan, Lewis & Bockius LLP
Jun
29
2011
 DOJ Issues New Merger Remedy Guidance Bracewell LLP
Jun
28
2011
 SEC Adopts Family Office Rule Morgan, Lewis & Bockius LLP
Jun
25
2011
 Worth Taking Notice: Whistleblower Rules Regarding Auditing Firms McDermott Will & Emery
Jun
24
2011
 SEC Adopts Investment Adviser Rules Implementing the Dodd-Frank Act Morgan, Lewis & Bockius LLP
Jun
24
2011
 Does Your Sarbanes-Oxley Act Compliance Program Reflect Your Social Media Presence? Sheppard, Mullin, Richter & Hampton LLP
Jun
22
2011
 Supreme Court Establishes Bright-Line Rule for 10b-5 Liability, But Questions Remain: Janus Capital Group, Inc. v. First Derivative Traders Morgan, Lewis & Bockius LLP
Jun
20
2011
 United States Supreme Court Holds that the "Maker" of a Statement for Rule 10b-5 Purposes is the Person or Entity with Ultimate Authority Over the Statement Sheppard, Mullin, Richter & Hampton LLP
Jun
20
2011
 Mine Operators Face Additional Challenges, Burdens, Under New Specialized SEC Disclosure Regime Dinsmore & Shohl LLP
Jun
17
2011
 U.S. Supreme Court Limits Scope of Primary Liability Under Federal Securities Laws Hunton Andrews Kurth
Jun
16
2011
 Who Do Directors Represent? Michael Best & Friedrich LLP
Jun
16
2011
 U.S. Supreme Court Limits Liability Under Rule 10b-5 Greenberg Traurig, LLP
Jun
16
2011
 Interview with C. David Morris, Senior Counsel International at Northrop Grumman Corporation Marcus Evans
Jun
15
2011
 CFTC Delays Derivatives Rules Until End of Year Center for Public Integrity
Jun
13
2011
 Financial Reform This Week: Derivatives Market Jittery about Missed Deadlines Center for Public Integrity
Jun
12
2011
 California Court of Appeal Holds That State Courts Have Jurisdiction Over Securities Act Class Actions Unless the Action Is a "Covered Class Action" and Involves a "Covered Security" Under SLUSA Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2011
 California Court of Appeal Interprets "Controlling Person" Liability Under State and Federal Securities Laws Sheppard, Mullin, Richter & Hampton LLP
Jun
9
2011
 Supreme Court Unanimously Rejects Fifth Circuit’s Loss Causation Standard Hunton Andrews Kurth
Jun
9
2011
 Time Running Out on Retail Currency Business for SEC-Registered Broker-Dealers Morgan, Lewis & Bockius LLP
Jun
8
2011
 U.S. Supreme Court: Investors Can Seek Class Action Status Without Proving Loss Causation Morgan, Lewis & Bockius LLP
Jun
8
2011
 One Reason the SEC Can’t Regulate Wall Street Risk and Insurance Management Society, Inc. (RIMS)
Jun
8
2011
 ARB Ruling Takes Broad View of Scope of Protected Activity Under SOX Morgan, Lewis & Bockius LLP
Jun
6
2011
 Valuation of the Company vs. Valuation of the Stock: A Venture Capital Paradox Michael Best & Friedrich LLP
Jun
3
2011
 $400 Million in New Venture Capital Money Michael Best & Friedrich LLP
Jun
3
2011
 Compensation for Directors of Startups Michael Best & Friedrich LLP
Jun
3
2011
 New SEC Rules Pay Rewards to Whistleblowers Armstrong Teasdale
May
31
2011
 SEC Adopts Final Rules on Dodd-Frank Whistleblower Program McDermott Will & Emery
May
30
2011
 Final Dodd-Frank Whistleblower Rules Do Not Mandate Internal Reporting; May Dramatically Reshape FCPA Enforcement Morgan, Lewis & Bockius LLP
May
29
2011
 Patent Rights and Attracting Investors Michael Best & Friedrich LLP
May
28
2011
 The Dodd-Frank Act's Impact on Pension Plan Investment Options McDermott Will & Emery
May
26
2011
 In Setback for Corporate Lobbyists, Whistleblowers Can Take Tips First to Government Investigators Center for Public Integrity
May
25
2011
 SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions: Important Implications for Covered Entities Morgan, Lewis & Bockius LLP
May
21
2011
 Risk Management in the Post-Madoff Era of Fraud Risk and Insurance Management Society, Inc. (RIMS)
May
16
2011
 Would Companies Drop Compensation Committees to Evade SEC Rule?- Financial reform this week Center for Public Integrity
May
12
2011
 CFTC Proposes a Swap Product Definition and Capital Requirements Under Dodd-Frank Bracewell LLP
May
10
2011
 The New DOJ Working Group and What It Means to the Oil and Gas Industry Hunton Andrews Kurth
May
10
2011
 Senate Hearing to Examine Systemic Risk Response: Financial Reform this Week Center for Public Integrity
May
9
2011
 Department of Labor Proposes Additional Disclosure Rules for QDIAs and TDFs McDermott Will & Emery
May
2
2011
 For All the Blame, Credit Raters Still Count on Big Banks for Support- Documents Show Financial Giants Lobbying to Keep Role for Rating Agencies Center for Public Integrity
Apr
29
2011
 Oil and Gas Fraud Working Group to Focus on Energy Markets Bracewell LLP
Apr
28
2011
 FERC Issues $30 Million Penalty for Alleged Violations of Anti-Manipulation Rule Morgan, Lewis & Bockius LLP
Apr
28
2011
 CFTC & Fed Propose Margin Rules Under Dodd-Frank: Banks To Be Barred from Accepting Non Cash Collateral Bracewell LLP
Apr
25
2011
 SEC Proposes Rules for Compensation Committees and Compensation Advisers Hunton Andrews Kurth
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