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
Jun
24
2014
 SEC (Securities and Exchange Commission) Brings the First Whistleblower Anti-Retaliation Case Proskauer Rose LLP
Jun
30
2014
 SEC (Securities and Exchange Commission) Chair White Discusses Directors’ Responsibilities Morgan, Lewis & Bockius LLP
Apr
4
2014
 SEC (Securities and Exchange Commission) Commissioner Offers Views on SASB (Sustainability Accounting Standards Board) Morgan, Lewis & Bockius LLP
Apr
15
2014
 SEC (Securities and Exchange Commission) Conflict Minerals Rules: Name And Shame No More? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
22
2014
 SEC (Securities and Exchange Commission) Continues to Amplify Its Focus on Private Equity Funds Faegre Drinker
Jun
5
2014
 SEC (Securities and Exchange Commission) Currently Examining Potential Changes To “Accredited Investor” Definition Giordano, Halleran & Ciesla, P.C.
May
22
2014
 SEC (Securities and Exchange Commission) Denies Enforcement Action Award for Failure to Timely File Claim; Narrowly Defines “Extraordinary Circumstances” Exception Proskauer Rose LLP
Jan
31
2014
 SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule” Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Establishes Dedicated Group to Focus on Private Funds Faegre Drinker
May
1
2014
 SEC (Securities and Exchange Commission) Focuses on Alternative Funds Godfrey & Kahn S.C.
May
16
2014
 SEC (Securities and Exchange Commission) Gives Insider Trader a $30,000 Slap On The Wrist Faegre Drinker
May
1
2014
 SEC (Securities and Exchange Commission) Guidance on the Testimonial Rule and Social Media Godfrey & Kahn S.C.
Mar
31
2014
 SEC (Securities and Exchange Commission) Hosts Roundtable on Cybersecurity Issues and Challenges Morgan, Lewis & Bockius LLP
Apr
11
2014
 SEC (Securities and Exchange Commission) Introduces Continuing Disclosure Cooperation Initiative Hunton Andrews Kurth
Apr
30
2014
 SEC (Securities and Exchange Commission) Issues Cybersecurity Risk Alert Vedder Price
Mar
14
2014
 SEC (Securities and Exchange Commission) Issues FAQs on Financial Responsibility Rules Morgan, Lewis & Bockius LLP
Apr
18
2014
 SEC (Securities and Exchange Commission) Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule Katten
Apr
11
2014
 SEC (Securities and Exchange Commission) Issues New FAQs on Conflict Minerals Katten
May
2
2014
 SEC (Securities and Exchange Commission) Issues Partial Stay of Conflict Minerals Rule Hunton Andrews Kurth
Mar
2
2014
 SEC (Securities and Exchange Commission) Issues Relief from Certain Financial Responsibility Rule Requirements Morgan, Lewis & Bockius LLP
May
5
2014
 SEC (Securities and Exchange Commission) New Compliance & Disclosure Interpretations Michael Best & Friedrich LLP
Apr
11
2014
 SEC (Securities and Exchange Commission) Obtains Settlement for Violations of Registration Rules and “Layering” Katten
Mar
20
2014
 SEC (Securities and Exchange Commission) Proposes Enhanced Regulatory Framework for Certain Registered Clearing Agencies Morgan, Lewis & Bockius LLP
Nov
6
2013
 SEC (Securities and Exchange Commission) Proposes New Crowdfunding Rules Womble Bond Dickinson (US) LLP
Apr
25
2014
 SEC (Securities and Exchange Commission) Proposes Recordkeeping and Reporting Rules for Security-based Swaps Katten
Dec
5
2013
 SEC (Securities and Exchange Commission) Proposes Regulations Related to Crowdfunding (Part 1) Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
30
2013
 SEC (Securities and Exchange Commission) Reportedly Investigating CalPERS’ Stock Trades Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
5
2014
 SEC (Securities and Exchange Commission) Requests Comment on FINRA (Financial Industry Regulatory Authority) Rules Katten
Mar
18
2013
 SEC (Securities and Exchange Commission) Risk Alert Identifies Common Adviser Custody Rule Deficiencies Katten
Feb
28
2014
 SEC (Securities and Exchange Commission) Says “M&A Brokers” (Mergers and Acquisitions) May Assist with the Purchase and Sale of Privately-Held Companies without Registering as a Broker-Dealer Neal, Gerber & Eisenberg LLP
Mar
17
2014
 SEC (Securities and Exchange Commission) Scrutinizing Contractual Impediments to Whistleblower Complaints Proskauer Rose LLP
Mar
7
2014
 SEC (Securities and Exchange Commission) Settles Charges Against Credit Suisse for Providing Unregistered Services to U.S. Clients Vedder Price
Apr
14
2014
 SEC (Securities and Exchange Commission) Staff Releases Compliance and Disclosure Interpretations Related to Intrastate Crowdfunding Godfrey & Kahn S.C.
Apr
30
2014
 SEC (Securities and Exchange Commission) to Conduct Cybersecurity Examinations of Registered Investment Advisers and Broker-Dealers Proskauer Rose LLP
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