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
Apr
20
2017
 Mutual Fund Directors Forum Issues Report on the Role of Directors in Oversight of the Risk Management Function Vedder Price
Jun
30
2020
 Must The Board Approve All Corporate Giving? Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
15
2013
 Must Suits/Actions To Enforce Section 25401 Be Brought In The Federal Courts? Re: Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
14
2013
 Municipal Securities Rulemaking Board (MSRB) Proposes Rule G-47 on Time of Trade Disclosure Obligations Mintz
Nov
6
2014
 Municipal Securities Rulemaking Board (MSRB) Advances Expanded Pay-to-Play Rule Covering Municipal Advisors Covington & Burling LLP
Mar
10
2016
 Municipal Securities Issuers Part 2: Shelf Registration Extended Offering Period Foley & Lardner LLP
Aug
30
2010
 Municipal Bond Offerings: SEC Charges State of New Jersey for Fraudulent Municipal Bond Offerings Hunton Andrews Kurth
Jan
10
2011
 Municipal Bond Offerings: Proposed SEC Rule Impacts Appointed Board Members Hunton Andrews Kurth
Sep
3
2011
 Municipal Bond Offerings: MSRB Propose Rules of Conduct for Municipal Advisors Hunton Andrews Kurth
Jul
25
2016
 Municipal Advisor, School Consultant, Associated Individuals Enter Settlement Offers with SEC After First-of-its-Kind Municipal Advisor Antifraud Enforcement Action Bracewell LLP
Sep
11
2017
 Multifarious Meanings of “Person” Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
7
2016
 Multi-Level Tipping: Insider Trading Cartoon Series, Vol. XI [VIDEO] Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Nov
26
2020
 Much Ado About Vesting: Federal Court Clarifies Vesting Rule for Security Interests Granted by Companies That Have Successfully Restructured K&L Gates
Sep
14
2011
 MSRB Withdraws Pending Municipal Advisor Rule Proposals Hunton Andrews Kurth
Feb
19
2012
 MSRB Proposes Limits on Underwriter Consents to Indenture Amendments Mintz
Feb
18
2016
 MSRB Pay-to-Play Rule Expanded, Opening Door to Enforcement: Municipal Securities Rulemaking Board Covington & Burling LLP
Jul
14
2017
 MSRB Pay-to-Play Challenge Stymied by Sixth Circuit over Standing Covington & Burling LLP
Sep
16
2017
 MSRB Addresses Selective Disclosure Mintz
Oct
22
2019
 Moving on from LIBOR Squire Patton Boggs (US) LLP
Jun
14
2013
 Movie Production Loans Result In 27-Year Stay At The Greybar Hotel Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2017
 Move Aside EPA, The SEC Is Now Regulating Ecosystems! Allen Matkins Leck Gamble Mallory & Natsis LLP
May
28
2015
 Move America Bonds – Close Enough for Government Work Squire Patton Boggs (US) LLP
Nov
30
2015
 Most Important Principles of Delaware Corporate Law Can’t Be Found In the DGCL Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
19
2012
 Most Companies Do Not Expect – And Remain Unprepared For – Lawsuits Against Their Directors Risk and Insurance Management Society, Inc. (RIMS)
Sep
2
2014
 Mortgage Loans: Deutsche Bank v. Quicken Loans Bilzin Sumberg
Sep
17
2011
 Mortgage Industry Whistleblower Wins Case Against Bank of America Center for Public Integrity
Jun
16
2016
 Morgan Stanley to Pay $1 Million Penalty in SEC Cybersecurity Settlement Covington & Burling LLP
Jul
10
2013
 Morgan Keegan Directors Settle Securities and Exchange Commission (SEC) Charges Faegre Drinker
Mar
23
2015
 More “Broken Windows”: SEC Charges Schedule 13D Filers with Disclosure Violations for Failing to Update Ownership Reports Mintz
Feb
22
2023
 More Than Four Score Law Firms File Amicus Brief Opposing SEC Assault On Client Confidentiality Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
24
2014
 More Swaps Margin Rules; Manipulation Settlement; HFT Capital Violation; FX Futures Block Thresholds; Eating Evidence - Bridging the Week: September 15 to 19 and 22, 2014 [VIDEO] Katten
Apr
23
2013
 More Securities Fraud Cases Now Involve Foreign Regulators Katten
Jan
7
2015
 More Questions About California’s Limited Offers Section 25102(f) Exemption - Corporations Allen Matkins Leck Gamble Mallory & Natsis LLP
May
9
2017
 More On Real Estate Funds And The Investment Advisers Act Allen Matkins Leck Gamble Mallory & Natsis LLP
May
29
2018
 More On Post Cards As Securities Allen Matkins Leck Gamble Mallory & Natsis LLP
Subscribe to Securities & SEC
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins