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.

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Jun
20
2011
 United States Supreme Court Holds that the "Maker" of a Statement for Rule 10b-5 Purposes is the Person or Entity with Ultimate Authority Over the Statement Sheppard, Mullin, Richter & Hampton LLP
Jul
8
2011
 Delaware Supreme Court Holds That Insider Trading Claims Alleging Misuse of Confidential Corporate Information Need Not Show Injury To the Corporation Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2011
 Second Circuit Holds That the Private Securities Litigation Reform Act of 1995 Bars All RICO Claims Based Upon Alleged Acts of Securities Fraud Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2011
 SEC Announces Slight Decrease in Fee Rates for Section 6(b), Section 13(e) and Section 14(g) in Fiscal Year 2012 Sheppard, Mullin, Richter & Hampton LLP
Jan
7
2012
 SEC Toughens Listing Requirements for Reverse Merger Companies Sheppard, Mullin, Richter & Hampton LLP
Sep
8
2022
 The Seven Year Wait is Over! SEC Finalizes New Pay Versus Performance Disclosure Regulations Sheppard, Mullin, Richter & Hampton LLP
Dec
13
2017
 When Does Software Become Securities? Sheppard, Mullin, Richter & Hampton LLP
Jan
10
2023
 SEC Adopts Amendments Regarding Insider Trading Plans and Related Disclosures Sheppard, Mullin, Richter & Hampton LLP
Feb
18
2013
 Between Mortar and Pestle: Securities and Exchange Commission (SEC) Pressure Grinds Auditors Against People's Republic of China (PRC) State Interests Sheppard, Mullin, Richter & Hampton LLP
Mar
13
2013
 Second Circuit Rules That Putative Auction Rate Securities Class Action Complaints Failed to Adequately Plead Antitrust Conspiracy Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2018
 Court Rules Cryptocurrencies Can Be Regulated By The CFTC As Commodities Sheppard, Mullin, Richter & Hampton LLP
Jun
25
2013
 Affiliating with a Broker-Dealer Sheppard, Mullin, Richter & Hampton LLP
Jul
29
2013
 China Securities Regulatory Commission (CSRC) Became Sole Regulator of Private Equity (PE) Industry Sheppard, Mullin, Richter & Hampton LLP
Aug
10
2013
 Still Standing: U.S. Court Upholds SEC Conflicts Minerals Rule Sheppard, Mullin, Richter & Hampton LLP
Feb
1
2019
 Expansion of Regulation A to Reporting Companies: Increased Alternatives Now Available to Public Companies Seeking to Raise Capital or for Mergers and Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2014
 U.S. Securities & Exchange Commision (SEC) Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2024
 Recent Updates to State and Federal Climate Disclosure Laws Sheppard, Mullin, Richter & Hampton LLP
Apr
21
2020
 Exchange Relief: NYSE Provides Partial Waiver for Shareholder Approval of PIPE Transactions; Nasdaq Provides Relief Regarding Continued Listing Requirements Sheppard, Mullin, Richter & Hampton LLP
Dec
5
2014
 Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies Sheppard, Mullin, Richter & Hampton LLP
Dec
11
2014
 Second Circuit Limits “Tippee” Insider Trading Liability Sheppard, Mullin, Richter & Hampton LLP
Jan
5
2021
 UPDATED: The Reauthorization and Revival of the Paycheck Protection Program and Economic Injury Disaster Loan Program under the Economic Aid to Hard-Hit Small Businesses, Nonprofits, and Venues Act Sheppard, Mullin, Richter & Hampton LLP
May
4
2015
 Finally! SEC Proposes New Pay for Performance Disclosure Regulations Sheppard, Mullin, Richter & Hampton LLP
Jan
25
2022
 Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced Sheppard, Mullin, Richter & Hampton LLP
Apr
6
2022
 California Court of Appeal Addresses Derivative Standing and Failure of Oversight Claims Under Delaware Law Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2016
 U.S. Targets Private Equity Funds for FCPA Scrutiny Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2016
 SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review Sheppard, Mullin, Richter & Hampton LLP
Jun
14
2010
 Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2010
 President Obama Signs Dodd-Frank Act Into Law Sheppard, Mullin, Richter & Hampton LLP
Dec
31
2010
 SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010 Sheppard, Mullin, Richter & Hampton LLP
Jan
24
2012
 Spotlight on Pay For Performance Intensifies as ISS Releases New Evaluation Methodology for 2012 Proxy Season Sheppard, Mullin, Richter & Hampton LLP
Jan
3
2018
 Delaware Supreme Court Imposes New Limits on Stockholder Ratification Defense In Connection With Equity Incentive Plans Sheppard, Mullin, Richter & Hampton LLP
Feb
1
2023
 SEC Showcases Lesser-Known Legal Theory in Crypto Lending Suit Sheppard, Mullin, Richter & Hampton LLP
Feb
19
2013
 Second Circuit Affirms Dismissal of Securities Fraud Claims Relating to Allegedly Misleading Press Release Sheppard, Mullin, Richter & Hampton LLP
Jun
19
2018
 New Law Requires SEC to Expand Regulation A+ To Exchange Act Reporting Companies Sheppard, Mullin, Richter & Hampton LLP
May
7
2023
 CFPB Issues Guidance to Protect Homeowners from Zombie Mortgages Sheppard, Mullin, Richter & Hampton LLP
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