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
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
Dec
18
2014
 9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
18
2014
 District Court Rejects Constitutional Challenge to SEC Administrative Proceedings Proskauer Rose LLP
Dec
17
2014
 China Securities Regulatory Commission (CSRC) Issues New Provisions Morgan, Lewis & Bockius LLP
Dec
17
2014
 Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
16
2014
 What Are My Tax Obligations In Business Dissolution? McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec
16
2014
 In Texas Can Some Shares Be More Equal Than Others? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2014
 Insider Trading, Sentinel, Punitive Capital Hit Stay, Investment Funds Portfolio Composition Risk, Auditor Independence (or Not): Bridging the Week: December 8 to 12 and 15, 2014 Katten
Dec
15
2014
 SEC Seeks To “Overrule” Fifth Circuit Whistleblower Interpretation Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
15
2014
 Non-Competition Covenants: Seller Considerations and Approaches Greenberg Traurig, LLP
Dec
15
2014
 Foreign Holders of Mexican Debt Securities Should Hold a Little Longer Greenberg Traurig, LLP
Dec
15
2014
 European Securities and Markets Authority (ESMA) Reviews Supervisory Practices on MiFID Investor Information Katten
Dec
14
2014
 SEC Approves Municipal Securities Rulemaking Board (MSRB) Best Execution Rule Katten
Dec
14
2014
 UK Financial Conduct Authority (FCA) Announces Major Restructuring Katten
Dec
13
2014
 3rd Circuit: Dodd-Frank Anti-Arbitration Provisions Do Not Apply To Dodd-Frank Whistleblower Retaliation Claims Proskauer Rose LLP
Dec
13
2014
 SEC Sanctions Operator of Unregistered Virtual Currency Exchanges Katten
Dec
12
2014
 ICSID Arbitration Initiated Against China as Negotiations Move Ahead on U.S.-China Bilateral Investment Treaty Greenberg Traurig, LLP
Dec
12
2014
 Only ‘Whistleblowers’ Need Apply: District Court Concludes Simply Engaging in Protected Activity is Insufficient to Invoke Dodd-Frank Protection Greenberg Traurig, LLP
Dec
12
2014
 Mergers and Acquisitions Not Always Successful, So Plan Wisely McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec
12
2014
 Second Circuit Clarifies a Heightened Standard for Insider Trading Convictions Katten
Dec
12
2014
 Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements Katten
Dec
12
2014
 Commissioner Gallagher Posits SEC Would Prevail Against Harvard University Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2014
 Whistleblower Activity Heating Up All Over Barnes & Thornburg LLP
Dec
12
2014
 Financial Industry Regulators in New York Increase Data Security Oversight Covington & Burling LLP
Dec
12
2014
 Second Circuit Limits Criminal Insider Trading Actions Against Tippees Faegre Drinker
Dec
11
2014
 Reversing Convictions, Second Circuit Clarifies Scope of Tippee’s Required Knowledge in Insider Trading Cases Proskauer Rose LLP
Dec
11
2014
 Second Circuit Limits “Tippee” Insider Trading Liability Sheppard, Mullin, Richter & Hampton LLP
Dec
11
2014
 SEC Accounting Staff Speeches at Annual AICPA Conference Morgan, Lewis & Bockius LLP
Dec
11
2014
 Nevada Poised To Increase Output Of Reported Decisions Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
11
2014
 On the Third Day of Privacy, the Shareholders Gave to Me...Shareholder Proposals on Cybersecurity and Privacy Mintz
Dec
11
2014
 FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials Morgan, Lewis & Bockius LLP
Dec
9
2014
 UPDATE: Third Circuit Affirms Arbitrability of Dodd-Frank Retaliation Claim in Khazin v. TD Ameritrade Holding Corp. Faegre Drinker
Dec
9
2014
 Should Judicial Deference To The SEC Be Strong, Weak or Non-Existent? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
9
2014
 Bridging the Week: December 1 to 5 and 8, 2014 [VIDEO] Katten
Dec
8
2014
 Director of the Division of Investment Management Discusses Alternative Mutual Fund Disclosures Vedder Price
Dec
8
2014
 AIFM Directive – Latvia, Poland and Spain Warned by European Commission for Failing to Fully Implement New Investment Fund Rules Katten
Dec
8
2014
 SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report Katten
Dec
7
2014
 NFA Proposes Amendment to NFA Compliance Rule 2-4 Katten
Dec
6
2014
 NFA Issues Guidance on Exempt and Excluded CPOs and CTAs Katten
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