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
2
2009
 What The “Subprime Crisis” Really Means For Your Business
Jun
5
2009
 Roundtable: Part I – Corporate Internal Investigations: Early Stages
Jun
5
2009
 Roundtable: Part II – Corporate Internal Investigations: Later Stages
Jun
6
2009
 Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Mar
3
2018
 Kushner’s Bad Week: Losing Clearance, Suspicious Business Activities, and the Looming Russia Investigation
Apr
10
2015
 Equity Firm Agrees to Pay $3 Million to NM State Investment Counsel for Moneys Tied to Pay For Play Scheme
Jun
29
2012
 What Plan Fiduciaries Should Do in Connection with the New Fee Disclosure Rules Effective July 1st Sills Cummis & Gross P.C.
May
2
2013
 Practical Discussion Of Issues And Effective Strategies For Internal Investigations Sills Cummis & Gross P.C.
May
21
2012
 Adapting To Market Conditions: Joint-Venture Considerations For The Institutional Real Estate Investor And Its Legal Counsel Sills Cummis & Gross P.C.
Dec
11
2018
 Start Raising Capital Or Wait For Additional Guidance? Sills Cummis & Gross P.C.
May
17
2010
 Finding Optimism in the Private Equity and Venture Capital Markets Much Shelist, P.C.
Feb
4
2012
 Buyers Beware: You May Be Assuming Superfund Liability in an Asset Deal Much Shelist, P.C.
May
21
2012
 Fill for the Funding Dip: EB-5 Visas Much Shelist, P.C.
Aug
9
2010
 Is Electing an Independent Board Member Right for Your Business? Exploring the Pros and Cons Much Shelist, P.C.
Feb
15
2011
 401(k) Fees: A Hot Topic for Plan Fiduciaries and Participants Much Shelist, P.C.
May
19
2009
 Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies Much Shelist, P.C.
Mar
18
2012
 Contractual Non-Reliance Clauses: Insulating Defendants from Civil Fraud Claims Since 1995 Much Shelist, P.C.
May
26
2009
 Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests Much Shelist, P.C.
Feb
4
2015
 Seventh Circuit: SEC Filing May Constitute Title VII Retaliation Much Shelist, P.C.
Mar
5
2010
 Roth IRAs: The Conversion Decision Much Shelist, P.C.
Feb
26
2011
 The Illinois Securities Law: The Remedy Is Rescission Much Shelist, P.C.
Jul
7
2009
 Recent Developments in Legal Ethics, January 2005 Fairfield and Woods P.C.
Jul
8
2010
 Arizona Federal District Court Holds That Securities & Exchange Commission Need Not Allege Wrongdoing On The Part Of CEO When Pursuing Reimbursement Under Section 304 Of Sarbanes-Oxley Act Sheppard, Mullin, Richter & Hampton LLP
Aug
21
2010
 The Transparency Monster Strikes Again: New Reporting Requirements For Executive Compensation And First-Tier Subcontract Awards Sheppard, Mullin, Richter & Hampton LLP
Nov
28
2016
 Rule 504 Becomes Useful Tool for Smaller Capital Raising and M&A Transactions Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2011
 Trends Developing after First Month of Say-on-Pay Votes Sheppard, Mullin, Richter & Hampton LLP
Feb
14
2017
 Jumpstart Our Business Startups Act: Let’s Finally Fix Crowdfunding! Sheppard, Mullin, Richter & Hampton LLP
Mar
3
2017
 SNAP IPO Debuts On New York Stock Exchange Sheppard, Mullin, Richter & Hampton LLP
Jun
15
2022
 SEC Investigating Lack of Insider Trading Policies for NFT/Crypto Exchanges Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2011
 Second Circuit Holds that Falsity of Estimates of Goodwill and Loan Loss Reserves For Purposes of Sections 11 and 12(a)(2) of the Securities Act of 1933 Hinges on the Speakers' Subjective Belief in the Estimates' Accuracy Sheppard, Mullin, Richter & Hampton LLP
Mar
5
2018
 Crypto-Crime: The SEC and DOJ Go After BitFunder and Its BitFounder Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2013
 Third Circuit Reinforces Limits to Directors' Exposure for Misconduct by Corporate Employees Sheppard, Mullin, Richter & Hampton LLP
Apr
5
2013
 Deadline for Filing FICA Tax Refunds is April 15 Sheppard, Mullin, Richter & Hampton LLP
Apr
10
2013
 Delaware and California Courts Split as to Whether a Reverse Triangular Merger Results In an Assignment By Operation of Law, Creating Potential Pitfalls for Delaware and Other Foreign Corporations Located in California Sheppard, Mullin, Richter & Hampton LLP
Jun
11
2013
 A Rising Voice on Foreign Corrupt Practices Act (FCPA) Compliance: The Court Sheppard, Mullin, Richter & Hampton LLP
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