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
May
19
2014
 SEC’s Office of Compliance Inspections and Examinations (OCIE) Director Reports Violations Regarding Fees Common at Private Equity (PE) Firms Faegre Drinker
May
17
2014
 Fourth Circuit Declines to Extend Janus to Criminal Cases Re: Securities Fraud Katten
May
16
2014
 SEC (Securities and Exchange Commission) Gives Insider Trader a $30,000 Slap On The Wrist Faegre Drinker
May
16
2014
 Deadline Looms for Conflict Mineral Disclosure Requirements: Update for Suppliers of Reporting Companies Varnum LLP
May
16
2014
 Financial Industry Regulatory Authority (FINRA) Proposes Changes to FINRA Rules 7410 and 2121 Katten
May
16
2014
 Commodity Futures Trading Commission (CFTC) Staff Announces Streamlined No-Action Relief Process for Certain CPOs (Commodity Pool Operators) Katten
May
16
2014
 Delaware Supreme Court Upholds Fee-Shifting Bylaw Katten
May
16
2014
 Conflict Minerals Rule Update: D.C. Circuit Court Denies Request for Stay Hunton Andrews Kurth
May
16
2014
 Updated: No Stay of SEC’s Conflict Minerals Rules - Securities and Exchange Commission Morgan, Lewis & Bockius LLP
May
16
2014
 Corporate Internal Affairs Doctrine May Not Control Alter Ego Liability Allen Matkins Leck Gamble Mallory & Natsis LLP
May
15
2014
 Delaware Supreme Court Finds Fee-Shifting Bylaw Permissible Hunton Andrews Kurth
May
15
2014
 China Securities Regulatory Commission (CSRC) Issued New Drafts of Administrative Measures on Acquisition of Unlisted Public Companies for Public Comment Sheppard, Mullin, Richter & Hampton LLP
May
14
2014
 When are Public Companies Required to Disclose that They Have Experienced a Material Data Security Breach? Covington & Burling LLP
May
14
2014
 Conflict Minerals in Medical Devices: Securities and Exchange Commission (SEC) Reporting Update Covington & Burling LLP
May
13
2014
 A Cautionary Tale for Private Equity Funds Investing in the European Union Faegre Drinker
May
13
2014
 Securities and Exchange Commission (SEC) Enters Into First Non-Prosecution Agreement (NPA) With An Individual Faegre Drinker
May
13
2014
 Securities Exchange Commission (SEC) Staff Guidance: Companies Must File Conflict Minerals Disclosure With Modifications Faegre Drinker
May
13
2014
 Second Circuit Narrows Reach of Federal Securities Laws as to Foreign Securities Transactions Proskauer Rose LLP
May
12
2014
 Office of Compliance Inspections and Examinations (OCIE) Cybersecurity Initiative Godfrey & Kahn S.C.
May
12
2014
 Possible Future Stay of SEC’s Conflict Minerals Rules - Securities and Exchange Commission Morgan, Lewis & Bockius LLP
May
12
2014
 A Shot In A Mug Of Beer May Not Be The Answer To This Exclusive Forum Bylaw Case Allen Matkins Leck Gamble Mallory & Natsis LLP
May
12
2014
 Delaware Court of Chancery Underscores Heightened Pleading Standard Necessary to Support a Claim for Breach of Fiduciary Duty In Connection With a Merger Sheppard, Mullin, Richter & Hampton LLP
May
12
2014
 Security and Exchange Commission's (SEC) “Neither Admit nor Deny” Settlements Continue to Draw Controversy Faegre Drinker
May
11
2014
 Securities and Exchange Commission (SEC) Settles Charges Against Investment Adviser for Improperly Calculating Advisory Fees and Overcharging Clients Vedder Price
May
11
2014
 SEC (SEC Charges Investment Adviser with Custody Rule Violations) Charges Investment Adviser with Custody Rule Violations Katten
May
10
2014
 Conflict Minerals Rule Update: Emergency Motion Filed For Complete Stay of SEC's Conflict Minerals Rule Greenberg Traurig, LLP
May
10
2014
 Securities and Exchange Commission (SEC) Approves Financial Industry Regulatory Authority (FINRA) Rule Change to Limit Self-Trading Katten
May
10
2014
 Second Circuit Applies Morrison v. National Australia Bank to Allow Certain Extraterritorial Application of RICO Sheppard, Mullin, Richter & Hampton LLP
May
10
2014
 SEC Charges Five Co-Conspirators in Reverse Merger Scheme Katten
May
10
2014
 Securities and Exchange Commission (SEC) Reopens Comment Period on Proposed Target Date Retirement Fund Marketing Rules Vedder Price
May
10
2014
 Federal Election Commission (FEC) Approves Bitcoin Political Donations While SEC Issues Investor Alert Katten
May
9
2014
 Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rule 11892 Katten
May
9
2014
 Securities and Exchange Commission (SEC) Charges Investment Adviser for Undisclosed Revenue Sharing Agreements Vedder Price
May
9
2014
 Division of Investment Management Issues Guidance Regarding Fund Deregistrations Vedder Price
May
9
2014
 Cyber Risks for the Boardroom Part 5: Coverage for Privacy Violations Mintz
May
9
2014
 If It’s An LLC, Why Cite Corporate Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
9
2014
 Office of Compliance and Inspections and Examinations (OCIE) Issues Cybersecurity Risk Alert Vedder Price
May
9
2014
 Don't Sweat the Details...Unless You're Filing at the Federal Election Commission (FEC) Womble Bond Dickinson (US) LLP
May
8
2014
 Cyber Risks for the Boardroom Part 4: Coverage for Investigations Potential Gaps in D&O (Director & Officer) Coverage Mintz
May
8
2014
 In This “Unreliable” Opinion, California Court Requires Privity For Action Against Unlicensed Broker-Dealer Allen Matkins Leck Gamble Mallory & Natsis LLP
May
7
2014
 Cyber Risks for the Boardroom Part 3: Top Questions Directors Should be Asking about D&O (Directors and Officer) Coverage Mintz
May
7
2014
 Defendants Owed No Fiduciary Duty, But Still Liable re: California Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
May
6
2014
 Software Audits: Strategies for Licensees Mintz
May
6
2014
 Post-Issuance Compliance – More Than Just A Best Practice Re: Tax-Exempt Bonds Varnum LLP
May
6
2014
 Cyber Risks for the Boardroom Part 2: Why Corporate Directors Should be Concerned About Data Security Breaches Mintz
May
6
2014
 Is Nevada Free-Loading On The SEC (Securities and Exchange Commission)? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
5
2014
 SEC (Securities and Exchange Commission) New Compliance & Disclosure Interpretations Michael Best & Friedrich LLP
May
5
2014
 Cyber Risks for the Boardroom Part 1: The Recent Increase in Focus on Privacy Issues Mintz
May
5
2014
 Does Brewing Beer Positively Impact Society And The Environment? Allen Matkins Leck Gamble Mallory & Natsis LLP
May
3
2014
 Nuveen Investment Funds, Inc. No-Action Letter Godfrey & Kahn S.C.
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