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
Feb
10
2011
 Debt Deception: Broad Reach of New Consumer Financial Agency May Fall Short in Some Areas Center for Public Integrity
Feb
8
2011
 How Come Economists Didn’t Predict the Financial Crisis? Risk and Insurance Management Society, Inc. (RIMS)
Feb
7
2011
 Delaware Supreme Court Reverses Chancery Court Dismissal Of Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
Feb
6
2011
 Tenth Circuit Affirms High Standard For Scienter Pleading In Securities Fraud Cases Against Independent Auditors Sheppard, Mullin, Richter & Hampton LLP
Feb
5
2011
 JPMorgan Chase Reportedly Ignored Its Risk Management Department’s Warnings About Madoff Risk and Insurance Management Society, Inc. (RIMS)
Feb
5
2011
 Some Interesting New Developments as SEC Adopts Final Say-on-Pay Rules Sheppard, Mullin, Richter & Hampton LLP
Feb
4
2011
 Some thoughts on Finders for Risk Capital Michael Best & Friedrich LLP
Feb
3
2011
 District Of Columbia Circuit Holds That Certifications In Financial Statements Do Not Constitute Omissions That Qualify For A Presumption Of Reliance In Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Jan
30
2011
 WikiLeaks More Effective Than SEC, Says Enron Whistleblower Center for Public Integrity
Jan
30
2011
 The Financial Crisis Was a Failure of Risk Management, Says the Federal Government Risk and Insurance Management Society, Inc. (RIMS)
Jan
29
2011
 California Court Of Appeal Holds That Privity Of Contract Is Necessary To Maintain An Action For Rescission Under California Corporations Code Sections 25504 And 25504.1 Sheppard, Mullin, Richter & Hampton LLP
Jan
28
2011
 Delaware Supreme Court Holds That Chancery Court Is Not Bound By Merger Price Or Fairness Opinion In Appraisal Proceedings Under Delaware General Corporate Law Section 262(h) Sheppard, Mullin, Richter & Hampton LLP
Jan
27
2011
 Milestone or Millstone? Financing, that is. Michael Best & Friedrich LLP
Jan
26
2011
 SEC Proposes Rules to Implement the Dodd-Frank Act’s Mine Safety Disclosure Requirements Hunton Andrews Kurth
Jan
25
2011
 2010 Year-End Securities Litigation Reports Show a Second Half Increase In New Class Action Filings, With Merger Cases Spiking Sheppard, Mullin, Richter & Hampton LLP
Jan
24
2011
 Commodity Futures Trading Commission "CFTC" Approves Position Limits Proposal for Derivatives Bracewell LLP
Jan
23
2011
 Customers Close Accounts to Protest Wall Street, Abusive Lending Practices Center for Public Integrity
Jan
23
2011
 Companies Should Not Take Lightly the Need for Full Compliance with the SEC's Executive Compensation Disclosure Rules Sheppard, Mullin, Richter & Hampton LLP
Jan
20
2011
 China's Supreme People's Court Issues Notice on Trial of Cases Involving Transfers of Nonperforming Assets to Foreign Investors Sheppard, Mullin, Richter & Hampton LLP
Jan
20
2011
 Reporting Deadline Approaches For 2010 ISO Exercises and ESPP Stock Transfers Michael Best & Friedrich LLP
Jan
14
2011
 TARP Watchdog Sounds Alarm About “Too Big To Fail” Banks Center for Public Integrity
Jan
14
2011
 SEC Proposes Disclosure Rules for Payments by Resource Extraction Issuers Hunton Andrews Kurth
Jan
11
2011
 Extension of 100% Gain Exclusion for Qualified Small Business Stock Sheppard, Mullin, Richter & Hampton LLP
Jan
10
2011
 Municipal Bond Offerings: Proposed SEC Rule Impacts Appointed Board Members Hunton Andrews Kurth
Jan
7
2011
 Preparing for the 2011 Proxy Season: What’s New Dinsmore & Shohl LLP
Dec
31
2010
 SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010 Sheppard, Mullin, Richter & Hampton LLP
Dec
29
2010
 Treasury Announces Standard Terms of Small Business Lending Fund Vedder Price
Dec
14
2010
 CFTC Proposes Definitions for "Swap Dealer" and "Major Swap Participant" Bracewell LLP
Dec
9
2010
 Recent SEC Enforcement of Regulation FD: Lessons to be Learned Hunton Andrews Kurth
Dec
5
2010
 SEC Delays Whistleblower Office, Citing Budget Center for Public Integrity
Dec
3
2010
 Wisconsin Act 255 Tax Credit Changes in 2011 Michael Best & Friedrich LLP
Dec
3
2010
 Time to Retire the ESOP from the 401k: Assessing the Liabilities of KSOP Structures in Light of ERISA Fiduciary Duties and Modern Alternatives Texas Wesleyan University School of Law
Dec
3
2010
 SEC Proposes New Whistleblower Rules Under the Dodd-Frank Act of 2010 Hunton Andrews Kurth
Nov
23
2010
 SEC Proposes Definition of Venture Capital Fund under Dodd-Frank Michael Best & Friedrich LLP
Nov
22
2010
 SEC Enforcement Action Under Regulation FD For Implicit Communications To Selected Analysts Sheppard, Mullin, Richter & Hampton LLP
Nov
20
2010
 Angel Investing Principles: Doing Good While Doing Well Michael Best & Friedrich LLP
Nov
19
2010
 Fifth Circuit Rejects Section 10(B) Scheme Liability in Absence of Explicit Attribution of Conduct or Statements to Defendant Sheppard, Mullin, Richter & Hampton LLP
Nov
19
2010
 Free Money Isn’t Free (Except When It Is) Michael Best & Friedrich LLP
Nov
17
2010
 Improving Ratings Agencies After the Financial Crisis Risk and Insurance Management Society, Inc. (RIMS)
Nov
17
2010
 Kentucky's Financial Services Industry in Transition Dinsmore & Shohl LLP
Nov
16
2010
 All About Financing the Startup Company -Starting a New Company These Days in Quite The Headwind….. The National Law Review / The National Law Forum LLC
Nov
13
2010
 Reform Reading: FDIC Gets Tough, Banks May Get Bigger Dividends Center for Public Integrity
Nov
10
2010
 Record FCPA Settlements Continue, Important Lessons To Be Learned Hunton Andrews Kurth
Nov
9
2010
 Startup Valuation Workshop Slides & Worksheets Michael Best & Friedrich LLP
Nov
9
2010
 CFTC Proposes Anti-Manipulation Rules to Implement Bracewell LLP
Nov
8
2010
 Next Wave of MBS Litigation Focuses on Issuers, Underwriters Hunton Andrews Kurth
Nov
4
2010
 New Chief of House Financial Services Takes Aim At Derivatives Center for Public Integrity
Nov
3
2010
 Time to Add a Roth Feature to Your 401(k) Plan? Poyner Spruill LLP
Nov
3
2010
 Delaware Supreme Court Clarifies Law Regarding Standing of Plaintiff-Shareholders to Bring a Post-Merger Double Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2010
 District Court Holds No D&O Insurance Coverage for Attorneys' Fees and Costs Incurred in Voluntary Response to SEC Investigation Sheppard, Mullin, Richter & Hampton LLP
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