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
31
2015
 July 2015 Compilation of Enforcement and Non-Enforcement Actions Foley & Lardner LLP
Jul
31
2015
 AIFMD Marketing Passport: ESMA Provides European Commission With Advice on Its Possible Extension to Non-EU Jurisdictions Katten
Jul
31
2015
 SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting Katten
Jul
31
2015
 CalPERS And Pay Equity Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
30
2015
 New SEC and PCAOB Proposals Related to Audit Committee Disclosure and Audit Quality Morgan, Lewis & Bockius LLP
Jul
30
2015
 New Executive Compensation Clawback Rules Proposed by SEC; Update on Pay Ratio Disclosure and Pay vs. Performance Rules Barnes & Thornburg LLP
Jul
28
2015
 “Pay to Play” Developments - Updates from the SEC Morgan, Lewis & Bockius LLP
Jul
28
2015
 CalPERS Claims Success; Proxy Monitor Says CalPERS Success Leads To Lower Stock Prices Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
27
2015
 CFTC Staff Exempts Certain Commodity Trading Advisors from Form CTA-PR Reporting Morgan, Lewis & Bockius LLP
Jul
27
2015
 SEC Considering Possible Revisions to Audit Committee Disclosure Requirements Hunton Andrews Kurth
Jul
27
2015
 Court Declines To Declare “S” Corporation Shareholders’ Agreement Unenforceable Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
25
2015
 CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers Katten
Jul
25
2015
 The SEC's Investment Management Division Has Some Things to Tell You about Cybersecurity Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Jul
24
2015
 Federal Reserve Issues Final Rule Requiring GSIBs to Bolster Capital Katten
Jul
24
2015
 CFTC Staff Exempts Certain CTAs From Filing Form CTA-PR Katten
Jul
24
2015
 Claiming Tipper Received No Benefit, Defendant Invokes Newman in Seeking to Dismiss Insider Trading Allegations Katten
Jul
24
2015
 SEC Chair Attempts to Reassure Compliance Officers That They Will Not Be Targeted Katten
Jul
24
2015
 Regulators Issue Final Dodd-Frank Standards for Assessing Diversity Policies and Practices of Covered Entities in the Financial Services Industry Epstein Becker & Green, P.C.
Jul
23
2015
 SEC’s Investment Management Division Has Some Things to Tell You about Cybersecurity Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Jul
23
2015
 SEC Pays More Than $3 Million Whistleblower Award Proskauer Rose LLP
Jul
23
2015
 Australia – A New Frontier for Plaintiffs? Mintz
Jul
23
2015
 What Dodd-Frank Means for SEC Enforcement Issues [VIDEO] Foley & Lardner LLP
Jul
23
2015
 You Can Settle Your Insider Trading Case with a Negligence-based Charge Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Jul
23
2015
 Extra Time Granted to File UK Share Plan Returns Squire Patton Boggs (US) LLP
Jul
23
2015
 Executive Compensation SEC Proposed Rules Giordano, Halleran & Ciesla, P.C.
Jul
22
2015
 SEC Approves Long-Anticipated FINRA Research Rules Morgan, Lewis & Bockius LLP
Jul
22
2015
 Delaware Supreme Court Reinforces Importance of Clear and Precise Bylaw Provisions and Specifically Drafted Notices of Annual Meetings Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2015
 Out-of-State M&A Lawyer Can Be Sued In California Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
21
2015
 Potential FCPA Landmines Selling EB-5 deals Abroad through Intermediaries Mintz
Jul
21
2015
 Does The SEC Know How To Assess Risks And Rewards? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
20
2015
 Disruptive Trading Redux; Penalties; Treasury Flash Crash; CCOs - Bridging the Week: July 13-17 and 20, 2015 [VIDEO] Katten
Jul
20
2015
 Implementation Issues Abound For The SEC’s Proposed Clawback Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
19
2015
 SEC Pays $3M Award to Whistleblower Zuckerman Law
Jul
17
2015
 FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules Katten
Jul
17
2015
 SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme Katten
Jul
17
2015
 Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement Katten
Jul
17
2015
 SEC Brings Complaint in $68 Million Affinity Fraud Scheme Katten
Jul
17
2015
 Can The SEC Ignore Congress’ Plain Language? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
16
2015
 SEC Proposes Clawback Rules of the Dodd-Frank Act ArentFox Schiff LLP
Jul
16
2015
 UK PRA Clawbacks – What’s your flavour of who, when and why? Squire Patton Boggs (US) LLP
Jul
15
2015
 SEC Proposes Executive Compensation Clawback Rule Hunton Andrews Kurth
Jul
15
2015
 Regulation S Safe Harbor in EB-5 offerings Mintz
Jul
15
2015
 Dodd-Frank 180-Day “Deadline” For SEC to Take Action Not Really a Deadline After All Faegre Drinker
Jul
15
2015
 The SEC’s Unconvincing Case Against Indemnification Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
15
2015
 UK Tribunal Rules on “Rate-Booster” Strategy McDermott Will & Emery
Jul
15
2015
 SEC Proposed Rules: Pay Versus Performance Morgan, Lewis & Bockius LLP
Jul
15
2015
 Critical Factors in Handling Italian Transfer Pricing Controversies McDermott Will & Emery
Jul
14
2015
 Scope of Dodd-Frank Whistleblower Anti-Retaliation Provision Remains Critical, Open Question [VIDEO] Epstein Becker & Green, P.C.
Jul
14
2015
 SEC Settles Charges Against Mutual Fund Board Members, Investment Adviser and Administrator in Connection with Advisory Contract Approval and Disclosure Process Vedder Price
Jul
14
2015
 What Do the Expanded Reg A+ Rules Mean for Your Company? Foley & Lardner LLP
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