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
Jul
21
2016
 Financial Stability Board Issues Policy Recommendations to Address “Structural Vulnerabilities” in Asset Management Industry Vedder Price
Jul
21
2016
 SEC Chair Discusses Future Regulatory Initiatives and Emerging Industry Challenges at ICI 2016 General Meeting Vedder Price
Jul
21
2016
 SEC Staff Provides Temporary No-Action Relief on Auditor Independence and the “Loan Provision” Vedder Price
Jul
21
2016
 Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds Vedder Price
Jul
21
2016
 SEC Affirms Denial of Bounties to Three Purported Whistleblowers Proskauer Rose LLP
Jul
19
2016
 Registered Investment Advisor Agrees to Settle Charges of Failing to Clearly Disclose Transaction Costs Beyond “Wrap Fees” to Investors Faegre Drinker
Jul
18
2016
 Bridging the Week: Spoofing; Physical Position Reporting; Administrative Proceedings; Blue Sheets; Reg AT; Order Handling Disclosure; Hedge Exemptions Katten
Jul
18
2016
 SEC Proposes Rules on Adviser Business Continuity and Transition Plans Faegre Drinker
Jul
18
2016
 SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies Faegre Drinker
Jul
17
2016
 ESMA Publishes Responses to Benchmark Regulation Consultation Katten
Jul
15
2016
 New Proposed SEC Rules for the Disclosure of Order Handling Information Katten
Jul
15
2016
 SEC Division of Corporation Finance Issues New C&DIs on A/B Exchanges Katten
Jul
15
2016
 SEC Proposes Amendments To Update and Simplify Disclosure Requirements Katten
Jul
15
2016
 SEC Adopts Changes to Security-Based Swap Reporting Rules Katten
Jul
15
2016
 SEC Increases Dollar Amount of the Net Worth Threshold Test for “Qualified Clients” in Rule 205-3 Under the Investment Advisers Act of 1940 Katten
Jul
14
2016
 Non-GAAP Financial Measures: New SEC Scrutiny Hunton Andrews Kurth
Jul
14
2016
 SEC Tweaks In-House Court Rules Faegre Drinker
Jul
14
2016
 SEC Adopts Amendments to Rules Governing Its Administrative Proceedings Proskauer Rose LLP
Jul
13
2016
 SEC Approves New Nasdaq Rule 5250(b): Disclosure of “Golden Leash” Arrangements Proskauer Rose LLP
Jul
13
2016
 SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans Katten
Jul
12
2016
 Update: IRS, SEC, and Courts Diverge on Nature of Disgorgement Faegre Drinker
Jul
12
2016
 Analysis of First 50 Crowdfunding Offerings: Following the Crowd Faegre Drinker
Jul
12
2016
 The Tokyo Stock Exchange: Gateway to the Asian Market Greenberg Traurig, LLP
Jul
12
2016
 Securities: Is Rule 10b-5 The “Mother Of All Litotes”? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
11
2016
 Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 Katten
Jul
11
2016
 SEC Approves Consolidated FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) Katten
Jul
11
2016
 SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 Katten
Jul
11
2016
 SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule Katten
Jul
11
2016
 Financial Services Reform Efforts Slow Moving, as Lawmakers Turn to Fight on Terrorism Financing; SEC to Hold Open Meetings Squire Patton Boggs (US) LLP
Jul
10
2016
 SEC Proposes Updates to Property Disclosure Regime for Mining Registrants Holland & Hart LLP
Jul
9
2016
 Eleventh Circuit Limits SEC Look-Back Period and Sets Up Circuit Split ArentFox Schiff LLP
Jul
8
2016
 SEC Proposes Amendments to Definition of ‘Smaller Reporting Company’ Katten
Jul
8
2016
 SEC Whistleblower Chief Sean McKessy to Leave, Agency Announces Proskauer Rose LLP
Jul
8
2016
 SEC Issues Proposed Rules to Increase Financial Thresholds Applicable to Smaller Reporting Companies Michael Best & Friedrich LLP
Jul
8
2016
 Class A Is Class A and Class B Is Class B And Shall Ever The Twain Meet? Allen Matkins Leck Gamble Mallory & Natsis LLP
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