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
May
8
2015
 Interpreting The Right To Specific Performance In A Shareholder Buy-Sell Agreement Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
May
8
2015
 Megan Gates, Co-chair, Mintz Levin Securities & Capital Markets Practice Discusses Financing Challenges for Small Cap Companies Mintz
May
8
2015
 When A Corporation May Not Be A Corporation At All Allen Matkins Leck Gamble Mallory & Natsis LLP
May
7
2015
 CFTC Proposes to Reduce Reporting and Recordkeeping Obligations for Commercial End Users of Trade Options ArentFox Schiff LLP
May
7
2015
 SEC Proposes Pay Versus Performance Rules Morgan, Lewis & Bockius LLP
May
7
2015
 Form 10-Q Koans Allen Matkins Leck Gamble Mallory & Natsis LLP
May
7
2015
 Data Breaches: Every Company Is at Risk - Part 2 - Cynthia LaRose of Mintz Levin [VIDEO] Mintz
May
6
2015
 SEC Proposes Rules for Pay For Performance Disclosure ArentFox Schiff LLP
May
6
2015
 Wall Street Journal Report On Delayed SEC Whistleblower Bounty Awards Proskauer Rose LLP
May
6
2015
 Cybersecurity Guidance for Registered Investment Advisers Proskauer Rose LLP
May
6
2015
 Will Delaware’s Fee-Shifting Bylaw Bill Be A Boon To Other States? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
6
2015
 Health Care Enforcement: the Impact on PE Investments - Brian Platton of Mintz Levin [VIDEO] Mintz
May
5
2015
 Settlement with Large Firm Audit Partner Reaffirms SEC’s Emphasis on Related Party Disclosures Faegre Drinker
May
5
2015
 SEC Proposes Rules on Mandatory Pay for Performance Disclosure Foley & Lardner LLP
May
5
2015
 Court Sorts Out California RULLCA Transition Muddle Allen Matkins Leck Gamble Mallory & Natsis LLP
May
4
2015
 SEC Proposed Hedging Transaction Disclosure Rules McDermott Will & Emery
May
4
2015
 Finally! SEC Proposes New Pay for Performance Disclosure Regulations Sheppard, Mullin, Richter & Hampton LLP
May
4
2015
 Lewis Geffen of Mintz Levin looks at the Terms and Practices of East and West Coast VC Firms [VIDEO] Mintz
May
1
2015
 NASAA Launches a Streamlined Filing Process for Form D Katten
May
1
2015
 SEC Proposes New Pay-for-Performance Rules Katten
May
1
2015
 SEC Proposes New Pay versus Performance Disclosure Rules McDermott Will & Emery
Apr
30
2015
 SEC Adopts Final Rules on Regulation A+ Morgan, Lewis & Bockius LLP
Apr
30
2015
 There Two Ways To Create An Obligation And Six Ways To Extinguish It Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
30
2015
 SEC Answers Money Market Reform Questions Faegre Drinker
Apr
29
2015
 Bill Would Clarify When Limited Partnership Life Begins Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
28
2015
 Real Estate Developers Interested in Offering Equity or Debt for New Projects under Regulation A+ Stark & Stark
Apr
28
2015
 Self-Reporting: A Wise Strategy or Chasing Unicorns? Barnes & Thornburg LLP
Apr
28
2015
 SEC’s Large Payouts to Compliance-Officer Whistleblowers Highlight Need for Companies to Pay Prompt Attention McDermott Will & Emery
Apr
27
2015
 The SEC Doesn’t Love Secret Perks for Executives Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Apr
27
2015
 Aligning the Interests of Management Teams and Private Equity Investors [VIDEO] Mintz
Apr
27
2015
 Massachusetts Federal Court Holds That LLC Operating Agreement Does Not Shield Defendants from Liability for Breaching Their Fiduciary Duties to Closely Held Corporations Mintz
Apr
27
2015
 What Exactly Does The SEC Mean By “Permit”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
26
2015
 Judge Declines to Dismiss Spoofing Charges Against High Frequency Trader Katten
Apr
26
2015
 Finance Post: CFTC Issues No-Action Relief for SEF Confirmation Katten
Apr
25
2015
 CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors Katten
Apr
24
2015
 CFTC Provides Guidance on Calculating Projected Operating Costs by SEFs Katten
Apr
24
2015
 SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting Katten
Apr
24
2015
 Asset vs. Stock Purchase: Basic Asset Purchase Agreement Provisions McBrayer, McGinnis, Leslie and Kirkland, PLLC
Apr
24
2015
 ESMA Issues Call for Evidence on Virtual Currency Katten
Apr
24
2015
 SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award Katten
Apr
24
2015
 CalPERS Board Member Contests Attorney General’s Conflicts Position Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
23
2015
 SEC Awards More Than One Million Dollars to Compliance Officer Faegre Drinker
Apr
23
2015
 SEC Awards Compliance Officer Whistleblower Bounty of Approximately $1.5 Million Proskauer Rose LLP
Apr
22
2015
 A Change for the Better? The Arguments For and Against a Venture Exchange Sheppard, Mullin, Richter & Hampton LLP
Apr
22
2015
 Who Files The Most Permit Applications? re: Securities Sales Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
21
2015
 How Many Board Members Are Required To Take Action? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
21
2015
 Two Regulatory Crises: Cybersecurity Issues Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Apr
20
2015
 The SEC Is Targeting Companies That Use Confidentiality Agreements That Silence Whistleblowers in Violation of the Securities Exchange Act Epstein Becker & Green, P.C.
Apr
20
2015
 Crowdfunding Gets Local: What Entrepreneurs and Start-Ups Need to Know to Capitalize on Exemptions for Intrastate Crowdfunding in Arizona and Colorado Ryley Carlock & Applewhite, A Professional Corporation
Apr
20
2015
 SEC Pursues Another Fractional Interest Company Faegre Drinker
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