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
Apr
23
2011
 FTC and CFTC to Share Confidential Information, Increases Investigation Risks McDermott Will & Emery
Apr
18
2011
 Data Shows Deutsche Bank Was Key patron of Questionable Mortgage Lenders - Senate Report Reveals More of Bank's Toxic Deals Center for Public Integrity
Apr
17
2011
 “Sunshine is the Best Disinfectant”: A Financial Advisory Update McDermott Will & Emery
Apr
15
2011
 Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2011
 Making Banks Pay for Madoff’s Fraud Risk and Insurance Management Society, Inc. (RIMS)
Apr
14
2011
 Bouncing Around the Federal Securities Laws Michael Best & Friedrich LLP
Apr
13
2011
 The “Wall Street Mind” and “Too Big to Fail” Risk and Insurance Management Society, Inc. (RIMS)
Apr
12
2011
 Three Things to Know About Dodd-Frank Risk and Insurance Management Society, Inc. (RIMS)
Apr
9
2011
 Start Up Companies --- Grant Money: When “Free” is not “Free” Michael Best & Friedrich LLP
Apr
8
2011
 Southern District of New York Judge Applies Morrison to Dismiss Federal Securities Claims Brought by U.S. Investors Against the Royal Bank of Scotland Vedder Price
Apr
7
2011
 Foreign Corrupt Practices Act Trends Vedder Price
Apr
6
2011
 SEC Aggressively Targets Insider Trading and Expert Networks Vedder Price
Apr
5
2011
 Supreme Court Determines Materiality Standard for Adverse Event Reports Vedder Price
Apr
4
2011
 Janus Capital Group v. First Derivative Traders: Supreme Court to Decide Key Questions Regarding Secondary Actor Liability Vedder Price
Apr
3
2011
 Second Circuit Affirms the Importance of Adequately Pleading Loss Causation in Securities Fraud Claims Vedder Price
Apr
2
2011
 SEC Continues to Regulate and Claw Back Incentive-Based Compensation Vedder Price
Mar
31
2011
 Pharmaceutical and Other Companies Beware: New Supreme Court Decision Weighs in on Adverse Event Reports and Potential Liability Under Federal Securities Laws Squire Patton Boggs (US) LLP
Mar
30
2011
 Top 10 Issues When Considering a Joint Venture Dinsmore & Shohl LLP
Mar
29
2011
 A MATRIXX Revolution, Part II: Supreme Court affirms Ninth Circuit's holding that Life Science Companies Cannot Rely On a Statistical Significance Standard When Deciding Whether Adverse Event Reports are Material for the Purpose of Securities Disclosures Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 United States Supreme Court Reiterates Materiality Standard For Securities Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Mar
26
2011
 Fed Chief Says He Will Take Press Questions Each Quarter Center for Public Integrity
Mar
25
2011
 SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 Sheppard, Mullin, Richter & Hampton LLP
Mar
24
2011
 SEC Extracts Fines, But Not Confessions Center for Public Integrity
Mar
23
2011
 Federal District Court Says "No" to Forum Selection Bylaws Hunton Andrews Kurth
Mar
23
2011
 Comments Solicited on Fundamental Changes to FERC's Market-Based Rate and Merger Review Process Tests Bracewell LLP
Mar
23
2011
 The Latest Results and Trends after Second Month of Say-on-Pay Voting Sheppard, Mullin, Richter & Hampton LLP
Mar
23
2011
 Talk Opportunity, then Price Michael Best & Friedrich LLP
Mar
17
2011
 SEC Adopts Say-on-Pay Rules von Briesen & Roper, s.c.
Mar
17
2011
 CFTC Proposes to Eliminate Certain Fund Exemptions and Extend Regulation of Commodity Pool Operators and Commodity Trading Advisors Under Dodd-Frank Bracewell LLP
Mar
16
2011
 Increased Hart-Scott-Rodino Premerger Notification Thresholds for 2011 Greenberg Traurig, LLP
Mar
10
2011
 Time to Update SEC Disclosure Requirements, Agency Official Says in Defending Budget Center for Public Integrity
Mar
9
2011
 Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor Sheppard, Mullin, Richter & Hampton LLP
Mar
5
2011
 Investment Adviser Update – February - March 2011 Vedder Price
Feb
27
2011
 Trends Developing after First Month of Say-on-Pay Votes Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2011
 Developments in Securities Law - February 2011 Michael Best & Friedrich LLP
Feb
26
2011
 The Illinois Securities Law: The Remedy Is Rescission Much Shelist, P.C.
Feb
23
2011
 2010 Foreign Corrupt Practices Act "FCPA" Year In Review Sheppard, Mullin, Richter & Hampton LLP
Feb
21
2011
 Delaware Chancery Court Provides Further Clarification as to When the "Entire Fairness" Standard of Review is Appropriate and How It Will Be Applied Sheppard, Mullin, Richter & Hampton LLP
Feb
19
2011
 Back to the Future with Watson Michael Best & Friedrich LLP
Feb
18
2011
 Financial Institutions Further Embracing Enterprise Risk Management "ERM": Deloitte Risk and Insurance Management Society, Inc. (RIMS)
Feb
18
2011
 New SEC Proposal To Modify Short Form Registration Statement Eligibility Requirements and Repeal Credit Rating-Based Eligibility For Public Offerings Of Non-Convertible Debt Securities Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2011
 TOUSA Reversed: Victory for the Capital Markets and Rescue Financings Bracewell LLP
Feb
15
2011
 401(k) Fees: A Hot Topic for Plan Fiduciaries and Participants Much Shelist, P.C.
Feb
15
2011
 Final Say-On-Pay Rules Delay Requirements for Smaller Reporting Companies and TARP Participants Vedder Price
Feb
15
2011
 Judge Says Fannie Mae Whistleblower’s Lawsuit Can Go Forward Center for Public Integrity
Feb
15
2011
 SEC Adopts Final “Say-On-Pay” Rules Vedder Price
Feb
13
2011
 A Rising Tide for Annual Say-on-Pay Votes Sheppard, Mullin, Richter & Hampton LLP
Feb
13
2011
 How a New SEC Rule Changed the Way Companies Look at Risk Management Risk and Insurance Management Society, Inc. (RIMS)
Feb
11
2011
 Some Thoughts on Investment Banks Michael Best & Friedrich LLP
Feb
11
2011
 Proposed Treasury Regulations Expand the Definition of "Publicly Traded" Bracewell LLP
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