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
Sep
24
2015
NYSE Expands Material News Notification Policy and Trading Halt Authority Effective September 28, 2015 Hunton Andrews Kurth
Sep
24
2015
Where In The World Is An Issuer’s Home Country? re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
24
2015
California District Court Follows Asadi, Dismisses Dodd-Frank Whistleblower Claim Proskauer Rose LLP
Sep
23
2015
Assistant Attorney General Caldwell Clarifies Application of Yates Memo on Individual Accountability Mintz
Sep
23
2015
Capturing The SEC - Mandatory Internal Audit Functions for All Publicly Traded Companies Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
23
2015
SEC Says No More Mr. Nice Guy on Investment Adviser Cybersecurity Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Sep
22
2015
Recommended Steps to Successful Equity Plan Approval – (Part 1: Steps 1-8) Morgan, Lewis & Bockius LLP
Sep
22
2015
SEC Charges Adviser and Distributor in Connection with Distribution Fee Sweep Faegre Drinker
Sep
22
2015
California Judge Sides With Congress and Fifth Circuit In Whistleblower Split Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
21
2015
Bridging the Week: September 14 to 18 and 21, 2015 (Virtual Currencies; Large Trader Reports; Leverage Ratio; Penson; Double Jeopardy; LME Position Limits) Katten
Sep
21
2015
Nothing to See in This Story about the Electronic Communications Privacy Act Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Sep
19
2015
ESMA Raises Market Risk Indicator for European Securities to Highest Level Katten
Sep
18
2015
SEC Extends Specified Temporary Relief Related to Security-Based Swaps Katten
Sep
18
2015
CFTC Announces Proposal to Amend the Definition of “Material Terms” for Purposes of Swap Portfolio Reconciliation Katten
Sep
17
2015
Asset-Level Data for Legacy Deals, and Risk Retention for Resecuritizations Morgan, Lewis & Bockius LLP
Sep
17
2015
Seventh Circuit Affirms District Court on Remand in Jones v. Harris Associates Vedder Price
Sep
17
2015
SEC Grants Petition for Review of Dismissal of Charges Against Investment Advisory Firm Vedder Price
Sep
17
2015
A Most Nescient Comment? re: Recovery of Erroneously Paid Incentive Compensation Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
17
2015
SEC Commissioners Address Recent Commission Orders Against CCOs Vedder Price
Sep
17
2015
Government Accountability Office Report on EB-5 a Possible Blueprint for Lawmakers and New Legislation Mintz
Sep
16
2015
SEC to Conduct Second Round of Cybersecurity Examinations Proskauer Rose LLP
Sep
16
2015
U.S. Courts Continue to Deny Attempts to Bring Foreign Law Actions in U.S. Courts to Recover for Potential Losses in Foreign Transactions Mintz
Sep
15
2015
SEC and DOJ Hacking Prosecutions Highlight SEC’s Increased Interest in Cybersecurity Risks Morgan, Lewis & Bockius LLP
Sep
15
2015
The Fundamental Distinction Overlooked By The SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
14
2015
What Questions Executives Should Be Asking About Their D&O Insurance Following The New DOJ Policies Issued Last Week Mintz
Sep
14
2015
Bridging the Weeks: August 31 to September 11 and September 14, 2015 (Spoofing, Individual Accountability, Cybersecurity, Audit Opinions, Hedging and Reporting) Katten
Sep
14
2015
SEC Financial Reporting and Auditing Enforcement Review Holland & Hart LLP
Sep
14
2015
Did The SEC Misapprehend The Meaning of “Will”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
13
2015
SEC Proposes Security-based Swap Data Repositories Make Data Available to Regulators Katten
Sep
12
2015
US District Court Orders SEC To Revise Resource Extraction Issuer Rule Katten
Sep
11
2015
SEC Charges Four Individuals and Nutrition Company for Failure To Disclose Executive Perks Katten
Sep
11
2015
Monthly Futures Exchange Issuance Report: August 2015 Bracewell LLP
Sep
11
2015
Filing Notices of Exemption Online In California Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
10
2015
Second Circuit: Dodd-Frank Protects Internal Whistleblowers Proskauer Rose LLP
Sep
10
2015
Beware of Use of Derivatives in Purchase and Sale of Private Shares Mintz
Sep
10
2015
Delaware Courts Scrutinize Recent Proposed Settlement Agreements – A Harbinger of Fewer M&A “Transaction Tax” Lawsuits? Hunton Andrews Kurth
Sep
10
2015
Sports Direct: Shareholders Shout Louder! re: Executive Remuneration Squire Patton Boggs (US) LLP
Sep
10
2015
Update on Proposed Listing Standards for Active ETFs Morgan, Lewis & Bockius LLP
Sep
9
2015
Failure To Follow Up Demand Dooms Derivative Suit Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
9
2015
Will Asset-Level Data Have to Be Reported for Legacy Deals? Morgan, Lewis & Bockius LLP
Sep
8
2015
SEC Rejects Constitutional Challenge to Administrative Proceeding Proskauer Rose LLP
Sep
8
2015
Executive Assistant Embezzles $1 Million from Hewlett Packard; as yet, SEC Doesn’t Care Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Sep
6
2015
Third Circuit Finds that the FTC Has Authority to Sue Companies for Inadequate Cybersecurity Practices as an "Unfair" Practice Holland & Hart LLP
Sep
4
2015
European Securities and Markets Authority (ESMA) Consults on Remaining MiFID II Draft ITS Katten
Sep
3
2015
Resource Extraction Payment Rule — Not Everyone Wants To Let Sleeping Dogs Lie Squire Patton Boggs (US) LLP
Sep
3
2015
Big Loss For Plaintiffs In High Frequency Trading Cases Proskauer Rose LLP
Sep
3
2015
D.C. Circuit Court Rules That The SEC Unlawfully Withheld Action Mandated By Congress Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
3
2015
ESMA Publishes Advice on Extending the Marketing Passport Beyond Europe Morgan, Lewis & Bockius LLP
Sep
2
2015
Officers And The Internal Affairs Doctrine Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
1
2015
Just How Scary is the SEC? “Fear” Not Sufficient Grounds to Duck Administrative Subpoena Mintz
 

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