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
6
2016
 “Not De Minimis” Is No Small Thing! Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
5
2016
 ISS Defines Acceptable Parameters for Proxy Access Provisions McDermott Will & Emery
Jan
5
2016
 Bridging the Week: December 21 – 31, 2015, and January 4, 2016 (MF Global; Blue Sheets; New Product Blues; Tag 50s; The Big Short) Katten
Jan
5
2016
 What SEC Doesn’t Understand About Blue Sky Laws Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
4
2016
 SEC Reproposes Rules for Resource Extraction Issuers Morgan, Lewis & Bockius LLP
Jan
4
2016
 Hong Kong Regulatory Bulletin - December 2015 Cadwalader, Wickersham & Taft LLP
Jan
3
2016
 Japan Trade Alert Cadwalader, Wickersham & Taft LLP
Jan
3
2016
 Delaware Supreme Court Upholds Rural Metro Decision, but Financial Advisors Can Breathe a Sigh of Relief Cadwalader, Wickersham & Taft LLP
Jan
3
2016
 Contractual Recognition of Bail-In – Are You Ready? - EU Bank Recovery and Resolution Directive Cadwalader, Wickersham & Taft LLP
Jan
2
2016
 2016 Proxy Season – Quick Reference Guide Cadwalader, Wickersham & Taft LLP
Jan
2
2016
 Update on the EU’s Proposed Regulation on Securitisation and its Potential Impact on US Market Participants Cadwalader, Wickersham & Taft LLP
Dec
30
2015
 Proxy Season Guide to 2016 re: Corporations and Securities Dinsmore & Shohl LLP
Dec
29
2015
 December 2015: A Compilation of Finance Enforcement and Non-Enforcement Actions Foley & Lardner LLP
Dec
27
2015
 U.S. Securities Laws Not Applicable to Certain Purchases of Petrobras Debt Securities Proskauer Rose LLP
Dec
25
2015
 FINRA and MSRB Propose New Pay-to-Play Restrictions on Broker-Dealer Solicitors and Municipal Advisors; Rules Will Trigger SEC Investment Advisor Third-Party Solicitation Ban Greenberg Traurig, LLP
Dec
24
2015
 First Circuit Offers Rebuke to SEC in Vacating Sanctions Order Greenberg Traurig, LLP
Dec
23
2015
 Potential Changes to Disclosure Requirements for Publicly Traded Companies Polsinelli PC
Dec
23
2015
 Federal Securities Law Implications of FAST Act Morgan, Lewis & Bockius LLP
Dec
23
2015
 Preemption Of Secondary Trading Is Fast Becoming More Obscure re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
22
2015
 SEC Releases Crowdfunding Rules for Securities Offerings Dickinson Wright PLLC
Dec
21
2015
 FAST Act Speeds-Up Raising Capital Sheppard, Mullin, Richter & Hampton LLP
Dec
21
2015
 Bridging the Week: December 14 - 18 and 21, 2015 - EFRPs; Wash Sales; Manipulation; Margin; Conflicts of Interest; Fingerprinting; Audit Trail [VIDEO] Katten
Dec
21
2015
 SEC Staff Releases Report on Review of Definition of “Accredited Investor” Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
18
2015
 SEC Proposes New Rule Governing Funds’ Use of Derivatives Vedder Price
Dec
18
2015
 SEC Division of Corporation Finance Issues New CDIs on Fixing America’s Surface Transportation Act Katten
Dec
18
2015
 CFTC Adopts Final Margin Rules for Swap Dealers Katten
Dec
18
2015
 SEC Proposes Payment Disclosure Rules for Resource Extraction Issues Katten
Dec
18
2015
 Martin Shkreli Arrested for Alleged Securities Fraud Scheme Stark & Stark
Dec
18
2015
 Martin Shkreli, Criminal Forfeiture, and Wu-Tang Clan: Securities Fraud Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Dec
18
2015
 CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs Katten
Dec
17
2015
 SEC Re-Proposes Disclosure Rules for Payments by Resource Extraction Issuers Mintz
Dec
16
2015
 OCIE Issues Risk Alert Regarding Advisers and Funds that Outsource Their CCOs Vedder Price
Dec
16
2015
 Congressional Spending Bill Shuts Down Key Goals of Campaign Finance Reform Community Covington & Burling LLP
Dec
16
2015
 EMIR Mandatory Clearing Will Start On 21 June 2016 Squire Patton Boggs (US) LLP
Dec
15
2015
 Need for Speed: FAST Act Impacts Securities Laws Faegre Drinker
Dec
15
2015
 First Circuit Overturns SEC Commissioners’ Sanctions Order Mintz
Dec
15
2015
 FAST Act Amends JOBS Act and Creates New Private Resale Exemption Hunton Andrews Kurth
Dec
15
2015
 Debate Intensifies on Best Strategy to Recover Foreign Securities Losses Mintz
Dec
15
2015
 SEC Charges Attorneys Across Country for Acting as Unlicensed Securities Brokers Greenberg Traurig, LLP
Dec
15
2015
 SEC Proposal Would Limit Investment In Derivatives By Investment Companies Proskauer Rose LLP
Dec
14
2015
 First Circuit Overturns SEC Ruling in Flannery v. SEC Morgan, Lewis & Bockius LLP
Dec
14
2015
 SEC Proposes Requirements for Funds’ Use of Derivatives and Other Financial Transactions Morgan, Lewis & Bockius LLP
Dec
14
2015
 Bridging the Week: December 7 - 11 and 14, 2015 (Investment Companies and Derivatives; Attempted Manipulation; HFTs; Conviction Overturned) Katten
Dec
14
2015
 Section 12(g)(1)(A) of JOBS Act – How SEC Is Putting Words In Congress’ Mouth Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
14
2015
 Securities Law Risk Mitigation in EB-5 Offerings Mintz
Dec
11
2015
 Here We Go Again — New Proposed Resource Extraction Payment Rules Squire Patton Boggs (US) LLP
Dec
11
2015
 FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck Katten
Dec
11
2015
 FAST Act Legislation and Impact on Securities Law Katten
Dec
11
2015
 Federal Highway Bill Eliminates Annual Privacy Notice Requirement for Financial Institutions Katten
Dec
11
2015
 Sellers May Find FAST Act To Be Not So Fast Allen Matkins Leck Gamble Mallory & Natsis LLP
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