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
20
2015
 Disruptive Trading Redux; Penalties; Treasury Flash Crash; CCOs - Bridging the Week: July 13-17 and 20, 2015 [VIDEO] Katten
Jul
20
2015
 Implementation Issues Abound For The SEC’s Proposed Clawback Rules Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
19
2015
 SEC Pays $3M Award to Whistleblower Zuckerman Law
Jul
17
2015
 FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules Katten
Jul
17
2015
 SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme Katten
Jul
17
2015
 Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement Katten
Jul
17
2015
 SEC Brings Complaint in $68 Million Affinity Fraud Scheme Katten
Jul
17
2015
 Can The SEC Ignore Congress’ Plain Language? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
16
2015
 SEC Proposes Clawback Rules of the Dodd-Frank Act ArentFox Schiff LLP
Jul
16
2015
 UK PRA Clawbacks – What’s your flavour of who, when and why? Squire Patton Boggs (US) LLP
Jul
15
2015
 SEC Proposes Executive Compensation Clawback Rule Hunton Andrews Kurth
Jul
15
2015
 Regulation S Safe Harbor in EB-5 offerings Mintz
Jul
15
2015
 Dodd-Frank 180-Day “Deadline” For SEC to Take Action Not Really a Deadline After All Faegre Drinker
Jul
15
2015
 The SEC’s Unconvincing Case Against Indemnification Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
15
2015
 UK Tribunal Rules on “Rate-Booster” Strategy McDermott Will & Emery
Jul
15
2015
 SEC Proposed Rules: Pay Versus Performance Morgan, Lewis & Bockius LLP
Jul
15
2015
 Critical Factors in Handling Italian Transfer Pricing Controversies McDermott Will & Emery
Jul
14
2015
 Scope of Dodd-Frank Whistleblower Anti-Retaliation Provision Remains Critical, Open Question [VIDEO] Epstein Becker & Green, P.C.
Jul
14
2015
 SEC Settles Charges Against Mutual Fund Board Members, Investment Adviser and Administrator in Connection with Advisory Contract Approval and Disclosure Process Vedder Price
Jul
14
2015
 What Do the Expanded Reg A+ Rules Mean for Your Company? Foley & Lardner LLP
Jul
14
2015
 Regulators Fail To Identify Cause Of Abnormal US Treasury Trading on October 15, 2014 Proskauer Rose LLP
Jul
14
2015
 Underwriters Could Feel Impact from Proposed IRS Changes Dinsmore & Shohl LLP
Jul
14
2015
 SEC Requests Public Comment on the Listing, Trading and Selling of Exchange-Traded Products Vedder Price
Jul
14
2015
 Division of Investment Management Issues Guidance on Personal Trade Reporting of Accounts Over Which Access Persons Have No Influence or Control Vedder Price
Jul
14
2015
 SEC and FINRA Focus on Retirement Accounts Vedder Price
Jul
14
2015
 SEC Clawback Proposal Overlooks Contract Law Fundamentals Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
13
2015
 SEC Issues Concept Release Requesting Input on Potential Audit Committee Disclosure Requirements Foley & Lardner LLP
Jul
13
2015
 SEC Proposes Rules on Compensation Clawback Policies Foley & Lardner LLP
Jul
13
2015
 The SEC’s Clawback Proposal – An Unconstitutional Taking? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
13
2015
 FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities Katten
Jul
13
2015
 SEC Proposes Rule Requiring Executive Compensation Clawbacks Katten
Jul
12
2015
 FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule Katten
Jul
12
2015
 CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions Katten
Jul
11
2015
 ESMA Publishes Final Report on Draft Rules Under MiFID II Katten
Jul
11
2015
 SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures Katten
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