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
Aug
22
2014
Parkcentral v. Porsche: Second Circuit Opens the Doors of Morrison, and Declines to Apply Section 10(b) to Domestic Securities-Based Swap Transactions Katten
Aug
22
2014
The Wal-Mart Decision: Just How Big A Blow Did the Delaware Supreme Court Deal To Corporations? Barnes & Thornburg LLP
Aug
22
2014
SEC Charges Colorado Woman and Her Two Companies with Offering Fraud Katten
Aug
22
2014
Texas Court of Appeals Decertifies Class of Brigham Shareholders Katten
Aug
22
2014
ISDA (International Swaps and Derivatives Association) Publishes Protocol for 2014 Credit Derivatives Definitions Katten
Aug
21
2014
Quarterly Whistleblower Award Update - August 21, 2014 Faegre Drinker
Aug
21
2014
11th Circuit in Florida Opts for Flexibility over Predictability in Securities Fraud Class Actions Bilzin Sumberg
Aug
20
2014
Second Circuit Upholds Dismissal in UBS Securities Case Vedder Price
Aug
20
2014
Securities Fraud: Profits Do Not Always Equal Disgorgement Faegre Drinker
Aug
19
2014
First Circuit Court of Appeals Bar of Expert Testimony Fatal to Class Plaintiffs' Claims Vedder Price
Aug
19
2014
Divided Fourth Circuit Panel Rules On Burden of Proving Loss Causation in ERISA Fiduciary Breach Case Proskauer Rose LLP
Aug
19
2014
Cybersecurity Risks: Discussion for the Board Room (and for the General Counsel) Mintz
Aug
19
2014
In re: BP p.l.c. Securities Litigation - Texas Federal District Court Vedder Price
Aug
18
2014
Delaware Supreme Court Finds Fee-Shifting Provisions in Bylaws to Be Facially Valid Vedder Price
Aug
18
2014
Second Circuit Vacates Judge Rakoff's Order Refusing to Approve Consent Decree Vedder Price
Aug
18
2014
District Court Confirms Caremark Applies to Audit Committee Oversight of Internal Controls Morgan, Lewis & Bockius LLP
Aug
18
2014
Sovereign Litigation in Latin America: Top Five Issues To Think of When Doing Business With a Latin American Country Sheppard, Mullin, Richter & Hampton LLP
Aug
18
2014
SEC Brings New Kind of Enforcement Action Aimed at Preventing Retaliation Against Whistleblowers Vedder Price
Aug
18
2014
Supreme Court Arms Securities Class Action Defendants with Powerful Ammunition to Defeat Class Certification Vedder Price
Aug
18
2014
California Finders Bill Trapped In The Weeds As Legislative Deadline Looms Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
16
2014
Delaware Court of Chancery Dismisses Derivative Suit Brought by Expired Trust Katten
Aug
15
2014
European Securities and Markets Authority (ESMA) Publishes Guidelines on Reporting Obligations Under the Alternative Investment Fund Managers Directive (AIFMD) Katten
Aug
15
2014
Regulators and Prosecutors Discuss Securities and Commodities Enforcement Priorities Barnes & Thornburg LLP
Aug
15
2014
New York District Court Considers Prior SEC Complaint Evidence to Establish Scienter Under Private Securities Litigation Reform Act (PSLRA) Katten
Aug
15
2014
ICE Futures U.S. Issues Amendments to Exchange of Futures for Related Position (EFRP) Rule and FAQs Katten
Aug
15
2014
SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements Katten
Aug
15
2014
Second Circuit Holds That Dodd-Frank Act Does Not Protect Whistleblower Outside U.S. Territory Mintz
Aug
15
2014
Some Questions About Delaware’s New Law Allowing Parties To Extend The Statute Of Limitations Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
15
2014
Securities Fraud: Cherry-Picking & Soft Dollars Sheppard, Mullin, Richter & Hampton LLP
Aug
14
2014
SEC Whistleblower Program: What’s Happening with Whistleblowing? Mintz
Aug
13
2014
10th Circuit Relies On Earnings Release and Compliance with Regulation S-K to Reject Claim of Material Omissions in Public Offering Morgan, Lewis & Bockius LLP
Aug
13
2014
Has California Lost Its Jurisdictional Anchor For Securities Fraud Actions? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
9
2014
SEC Brings Fraud Charges Against Oil and Gas Company and Its CEO Katten
Aug
8
2014
SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley Katten
Aug
8
2014
SEC Commissioner Highlights Need for Cyber-Risk Management in Speech at New York Stock Exchange Proskauer Rose LLP
Aug
7
2014
Judge Rakoff of Southern District of New York Continues to Question Adequacy of Judicial Oversight of SEC Barnes & Thornburg LLP
Aug
7
2014
SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule Vedder Price
Aug
7
2014
Key Reforms of the Russian Civil Code for Legal Entities Morgan, Lewis & Bockius LLP
Aug
7
2014
SEC Adopts Money Market Fund Rule Amendments Vedder Price
Aug
7
2014
Sarbanes–Oxley (SOX) Claim Dismissed: Rejection of IP Assignment Clause Not Protected Activity Proskauer Rose LLP
Aug
7
2014
Loan Market Association Publishes Documentation for Developing African Markets Greenberg Traurig, LLP
Aug
6
2014
Florida DFS Unclaimed Property Grab “Clearly Erroneous” Faegre Drinker
Aug
6
2014
This Court’s Ruling Puts the Opinion in Auditor’s Internal Control Opinion Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
6
2014
FERC Alleges PJM Manipulation by Powhatan Bracewell LLP
Aug
5
2014
Recent SEC Enforcement Action on Internal Control Despite No Other Alleged Violations Morgan, Lewis & Bockius LLP
Aug
4
2014
Does Dodd-Frank Act Protect Whistleblower Who Did Not Report to SEC? Jackson Lewis P.C.
Aug
4
2014
SEC Modifies MCDC Terms: Extends Issuer Deadline to 12/01/2014, Lowers Penalty Cap for Small Underwriters; Recognizes Pre-EMMA Limitations Bracewell LLP
Aug
4
2014
Delaware Amends its General Corporation Law, Limited Liability Company and Limited Partnership Acts Michael Best & Friedrich LLP
Aug
4
2014
New York Federal Court Limits Scope of SEC Disgorgement In Case Involving Failure to Disclose Beneficial Interests Mintz
Aug
4
2014
Amerco Stockholder Proposal Seeks To Ratification Of All Decisions And Actions Allen Matkins Leck Gamble Mallory & Natsis LLP
 

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