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
Mar
4
2015
SIFMA Gets Its Cybersecurity-Antitrust Wish - Securities Industry and Financial Markets Association Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Mar
3
2015
SCOTUS Limits Definition of “Tangible Object” under Sarbanes-Oxley Act Barnes & Thornburg LLP
Mar
3
2015
AICPA Issues Interpretation Clarifying Application of Third-Party Due Diligence Report Rules to AUP Engagements Morgan, Lewis & Bockius LLP
Mar
3
2015
The SEC Will Be Your Employment Law Agency, Too Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Mar
3
2015
Lessons from the OECD Foreign Bribery Report: Organization for Cooperation and Economic Development Mintz
Mar
3
2015
Two-Factor Authentication May Be Coming to a Bank Near You Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Mar
2
2015
SEC Provides Guidance on Receipt of Gifts by Fund Advisory Personnel Faegre Drinker
Mar
2
2015
Bridging the Week: CCP Report Cards; HFTs; Wash Trades; CFTC Lawsuit Against Attorney; Insider Trading; Conflicts [VIDEO] Katten
Mar
2
2015
Federal Reserve Remains Under Scrutiny; CFTC Reopens Comment Period On Position Limits, Staff To Hold Roundtable Squire Patton Boggs (US) LLP
Mar
2
2015
Goodyear Settles SEC’s FCPA Charges for $16M – Investigation Underscores Importance of Pre-Acquisition Due Diligence and Oversight of Foreign Subsidiaries Faegre Drinker
Mar
2
2015
Broad Coalition Delivers Blunt Rebuke To SEC Chairman Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
1
2015
SEC Continues to Investigate Contractual Impediments to Whistleblower Complaints Proskauer Rose LLP
Mar
1
2015
M and A Due Diligence Failures: FCPA and Goodyear Barnes & Thornburg LLP
Feb
27
2015
Second Circuit Holds That SIPA Does Not Permit an Inflation or Interest Adjustment to “Net Equity” Claims For Customer Property Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2015
Goodyear Pays for Sins of Subsidiaries in $16 Million Settlement Proskauer Rose LLP
Feb
27
2015
ESMA and JFSA Conclude a Memorandum of Understanding Regarding CCPs Katten
Feb
27
2015
Highlights from SEC Speaks 2015: Enforcement and Litigation Trends Vedder Price
Feb
27
2015
Is Anything Fishy With The SEC’s Whistleblower Inquiries? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
27
2015
Another SEC Whistleblower Amicus Brief On Whether Dodd-Frank Covers Internal Complaints Proskauer Rose LLP
Feb
26
2015
California Corporate Securities: Finders Bill Was Lost, But Now Is Found - AB 667 Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
25
2015
Goodyear’s Settlement with the SEC Emphasizes the Importance of FCPA Due Diligence in M&A Transactions and of Having a Robust Anti-Corruption Policy Mintz
Feb
24
2015
SEC Proposes Disclosure Rule for Hedging Transactions by Directors, Officers and Employees McDermott Will & Emery
Feb
24
2015
FINRA Issues Guidance on Materiality Consultations - Financial Industry Regulatory Authority Morgan, Lewis & Bockius LLP
Feb
23
2015
SEC Timeout on Proxy Access Issue Has Wider Implications Proskauer Rose LLP
Feb
23
2015
AML; Block Trades; EFRPs; Conflicts; Insider Trading - Bridging the Week: February 16 to 20 and 23, 2015 [VIDEO] Katten
Feb
23
2015
Revised Clayton Act/Hart-Scott-Rodino Premerger Notification Thresholds for 2015 Greenberg Traurig, LLP
Feb
23
2015
To Conjoin Or Not To Conjoin – California Sometimes Gets It Wrong Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
23
2015
Publicly Traded Companies and the Task of Succession Planning McBrayer, McGinnis, Leslie and Kirkland, PLLC
Feb
22
2015
What Threats Can Muffle a Corporate Action? FINRA May Rely on SEC Enforcement Proceedings Proskauer Rose LLP
Feb
20
2015
New York Amends its UCC, but Problems Remain Greenberg Traurig, LLP
Feb
20
2015
SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers Katten
Feb
20
2015
Georgia Investment Advisor Launches Article II Constitutional Challenge to the SEC’s Use of ALJs – And Seeks Discovery Greenberg Traurig, LLP
Feb
20
2015
A Win for Nonsettling Defendants Facing Securities Act Claims Morgan, Lewis & Bockius LLP
Feb
20
2015
ESMA Publishes Additional Consultation Paper on MiFID II/MiFIR Implementation Katten
Feb
20
2015
SEC Staff Views on Reg. AB II and Other New Regulatory Issues Begin to Emerge Morgan, Lewis & Bockius LLP
Feb
20
2015
Indicate By Check Mark If This Instruction Makes No Sense: √ Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
19
2015
Whole Foods: SEC’s Rule 14a-8 Volte-Face Is Pointlessly Outré But It Does Have Real World Ramifications Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
18
2015
SEC and FINRA Issue Results of Cybersecurity Examinations Vedder Price
Feb
18
2015
Does The SEC Have Hedging Backwards? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
17
2015
UK Financial Conduct Authority (FCA) Releases Updated Transaction Reporting User Pack Katten
Feb
17
2015
SEC Proposes Dodd-Frank Disclosure Rule Regarding Hedging Policies Hunton Andrews Kurth
Feb
17
2015
Eleventh Circuit Affirms Arbitration Dismissal in Favor of Investor’s Estate in Clawback Suit Katten
Feb
17
2015
SEC Proposes Rules for Disclosure of Companies’ Hedging Policies Katten
Feb
17
2015
Agencies Issue Tool for Calculating Capital Requirements for Securitization Exposures Katten
Feb
17
2015
Revealed! The Numbers The California Attorney General Didn’t Want You To See re: Whistleblowers Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
17
2015
FDIC Issues Private Letter to Elaborate on Brokered Deposit FAQ Katten
Feb
17
2015
SEC Publishes Rules for Reporting Security-Based Swaps Katten
Feb
17
2015
Dodd-Frank Wall Street Reform Act: SEC Proposes Rules for Hedging Policy Disclosure Bracewell LLP
Feb
16
2015
OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks Katten
Feb
16
2015
Hat in Hand for Budget; OCR; Overcharges; Swaps Clearing and Execution - Bridging the Week: February 9 to 13 and 16, 2015 Katten
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins