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
11
2015
 SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds Katten
Jan
10
2015
 CFTC Staff Grants No-Action Relief to Entities Operating Insurance-Linked Securities Issuers Katten
Jan
9
2015
 SEC Charges Chilean Citizens With Insider Trading Concerning Tender Offer for Chilean Katten
Jan
8
2015
 CFTC Reopens Comment Period for Position Limits - Commodity Futures Trading Commission Covington & Burling LLP
Jan
8
2015
 FINRA’s 2015 Examination Priorities Zero In On Abusive Trading Algorithms and Other Issues Involving Trading Technology Proskauer Rose LLP
Jan
7
2015
 More Questions About California’s Limited Offers Section 25102(f) Exemption - Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
6
2015
 Avon Settles FCPA Charges - Foreign Corrupt Practices Act Faegre Drinker
Jan
6
2015
 Second Circuit Overturns Insider Trading Convictions of Two Portfolio Managers Bracewell LLP
Jan
6
2015
 Delaware Supreme Court Confirms Chancery Court’s Broad Authority to Impose Use Restrictions on Information Obtained From Section 220 Books and Records Inspections Sheppard, Mullin, Richter & Hampton LLP
Jan
6
2015
 Removing California Securities Legends Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
6
2015
 Ninth Circuit Holds that Under Nevada Law, a Prior Stockholder’s Litigation of Demand Futility Precludes Another Stockholder From Litigating Demand Futility In a Subsequent Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Jan
5
2015
 Disruptive Trading, Block Trades, Customer Protection, NDF Clearing, MF Global: Bridging the Weeks: December 22, 2014, to January 2 and 5, 2015 [VIDEO] Katten
Jan
5
2015
 Recurrent Rogations Regarding California’s Section 25102(f) Exemption re: California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
4
2015
 UC Ventures: How One Very Large Public University System is Setting an Example. Or is it? Greenberg Traurig, LLP
Jan
4
2015
 Pro Se Not Welcome at PTAB McDermott Will & Emery
Jan
4
2015
 10 Tips for Entrepreneurs Seeking Capital Greenberg Traurig, LLP
Jan
4
2015
 SEC Publishes New Regulation AB Compliance and Disclosure Interpretations Morgan, Lewis & Bockius LLP
Jan
3
2015
 Federal Reserve Issues Extension of Volcker Rule Conformance Period for Legacy Covered Fund Positions Morgan, Lewis & Bockius LLP
Dec
30
2014
 SEC Working Papers Suggest Market Benefits from Certain Types of High-Frequency and Low-Latency Trading Proskauer Rose LLP
Dec
30
2014
 Delaware Supreme Court Holds That Court of Chancery Can Restrict Forum Where Books and Records Can Be Used Mintz
Dec
29
2014
 Second Circuit Holds RMBS-issued (Residential Mortgage-backed Securities) Certificates Are Exempt from the Trust Indenture Act (TIA) Sheppard, Mullin, Richter & Hampton LLP
Dec
29
2014
 SEC Proposes Changes to Exchange Act Rules to Implement Title V and Title VI of the JOBS Act Mintz
Dec
29
2014
 The SEC Pay-to-Play Rule Year in Review Covington & Burling LLP
Dec
29
2014
 This “Appeal” Of Whole Foods’ No-Action Letter Isn’t Very Appealing Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
27
2014
 Work with an Attorney to Maintain Ownership of Business McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec
24
2014
 Shareholder Rights Project Rewrites Website Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
23
2014
 Criminal Insider Trading Convictions Overturned In Far-Reaching Ruling Barnes & Thornburg LLP
Dec
23
2014
 SEC Condemns Breach Of Client Confidences While Offering Possible Bounties For Breaches Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
23
2014
 New York Times Discusses the Growth of Whistleblower Programs Proskauer Rose LLP
Dec
22
2014
 SEC’s Second Amicus Brief On Whether Dodd-Frank Protects Internal Reports Proskauer Rose LLP
Dec
22
2014
 MiFID II, MiFIR, Block Trade Washes, AlphaMetrix, Charges for Cash, Bitcoin Options Exchange, Trading System Failures - Bridging the Week: December 15 to 19 and 22, 2014 Katten
Dec
22
2014
 Ninth Circuit Clarifies Pleading Standard for Securities-Fraud Claims Proskauer Rose LLP
Dec
22
2014
 There’s No Place Like Home: SEC Increasingly Uses Administrative Proceedings Morgan, Lewis & Bockius LLP
Dec
22
2014
 The Shareholder Rights Project: Advice And Representation Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
22
2014
 Southern District Dismisses Complaints Against China North Director and Consultant Katten
Dec
21
2014
 Congress Eases Debt Level Restrictions for Smaller Banks, Thrifts Katten
Dec
21
2014
 SEC Urges Third Circuit to Adopts Its Interpretation of Whistleblower Retaliation Protections Katten
Dec
19
2014
 CFTC Approves Amended Order of Registration for LCH.Clearnet Ltd. Katten
Dec
19
2014
 The Fed Extends Volcker Rule Conformance for Private Funds Morgan, Lewis & Bockius LLP
Dec
19
2014
 Affordable Care Act Considerations in Mergers and Acquisitions Faegre Drinker
Dec
19
2014
 CFTC Extends Relief to Four Foreign Clearing Organizations Katten
Dec
19
2014
 CME Issues Revisions to Wash Trade Advisory Notice Katten
Dec
19
2014
 CFTC Extends Relief from Certain Recordkeeping Requirements Katten
Dec
19
2014
 SEC Clarifies Business Development Companies (BDC) Transactions with Certain Second-Tier Affiliates Morgan, Lewis & Bockius LLP
Dec
19
2014
 Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors Katten
Dec
19
2014
 ESMA Publishes Report on High-Frequency Trading Activity in EU Equity Markets Katten
Dec
19
2014
 DOL 2014 Fall Regulatory Agenda Faegre Drinker
Dec
19
2014
 Bringing the Individual Accredited Investor Into the 21st Century Sheppard, Mullin, Richter & Hampton LLP
Dec
19
2014
 Insufficient Evidence Calls for Overturning Insider Trading Cases, Second Circuit Rules Jackson Lewis P.C.
Dec
18
2014
 Former JPMorgan Chase Insider Blows the Whistle Bilzin Sumberg
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