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
Dec
11
2018
 Start Raising Capital Or Wait For Additional Guidance? Sills Cummis & Gross P.C.
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.
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.
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.
Jul
7
2009
 Recent Developments in Legal Ethics, January 2005 Fairfield and Woods P.C.
Aug
15
2019
 New York Commercial Division Justices Provide Dueling Approaches to Discovery Stays in State Court Securities Litigation Sheppard, Mullin, Richter & Hampton LLP
Nov
16
2023
 China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer Sheppard, Mullin, Richter & Hampton LLP
Apr
19
2014
 The Cybersecurity Race: Executive Branch Takes The Lead While Congress Watches From The Bleachers Sheppard, Mullin, Richter & Hampton LLP
Apr
2
2020
 SEC Guidance on COVID-19 Disclosures for Healthcare Providers Sheppard, Mullin, Richter & Hampton LLP
Jan
7
2016
 Potential Revisions to the Definition of “Accredited Investor” Sheppard, Mullin, Richter & Hampton LLP
Apr
18
2022
 Uniswap and VC Backers Sued For Selling Unregistered Securities Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2016
 SEC Launches Dedicated FINRA Oversight Unit: Watching the Detectives Sheppard, Mullin, Richter & Hampton LLP
Jul
23
2010
 Dodd-Frank Redefines "Accredited Investor" Sheppard, Mullin, Richter & Hampton LLP
Aug
31
2010
 Ninth Circuit Rejects Private Right Of Action To Enforce Section 13(a) Of The Investment Company Act Of 1940 Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2010
 Second Circuit Rejects Application Of "Bespeaks Caution" Doctrine To Statement Containing Both Historical And Forward-Looking Elements Sheppard, Mullin, Richter & Hampton LLP
Oct
25
2010
 Delaware Supreme Court Requires Credible Evidence of a "Proper Purpose" to Review a Corporation's Books and Records Sheppard, Mullin, Richter & Hampton LLP
Feb
3
2011
 District Of Columbia Circuit Holds That Certifications In Financial Statements Do Not Constitute Omissions That Qualify For A Presumption Of Reliance In Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Mar
23
2011
 The Latest Results and Trends after Second Month of Say-on-Pay Voting Sheppard, Mullin, Richter & Hampton LLP
Jun
16
2022
 NFT Insider Trading Compliance Policies – What They Cover and Why You Need One Sheppard, Mullin, Richter & Hampton LLP
Jul
24
2011
 D.C. Circuit Invalidates SEC's Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Jan
11
2012
 Regulatory Update: SEC Adopts Final Rules Defining "Accredited Investor" Consistent with Dodd-Frank Sheppard, Mullin, Richter & Hampton LLP
Jun
28
2017
 Supreme Court Deals Blow to SEC By Applying Five-Year Statute of Limitations to Disgorgement Remedies in SEC Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Feb
8
2023
 Delaware Court of Chancery Holds that Officers of a Delaware Corporation Are Subject to Fiduciary Duty of Oversight Sheppard, Mullin, Richter & Hampton LLP
Feb
13
2013
 Securities and Exchange Commission (SEC) Freezes Assets and Brings Civil Charges against EB-5 Investor Visa Project Sheppard, Mullin, Richter & Hampton LLP
Mar
10
2013
 Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act (HSR) Act Premerger Notifications Effective Became February 11, 2013 Sheppard, Mullin, Richter & Hampton LLP
Mar
24
2013
 California's Revised Uniform Limited Liability Company Act Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2018
 SEC Blockchain and Crypto Update Sheppard, Mullin, Richter & Hampton LLP
Jun
29
2013
 Second Circuit Reaffirms Continued Use of the "Knowing Possession" Causation Standard in Rajaratnam Insider Trading Case Sheppard, Mullin, Richter & Hampton LLP
Feb
11
2019
 SEC Issues New Guidance on Diversity Disclosure Requirements Sheppard, Mullin, Richter & Hampton LLP
Sep
8
2023
 Stock Exchange Deadline Approaches for Adopting SEC Compliant Clawback Policy Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2019
 For Tax-Exempt Employers: 403(b) Retirement Plan Compliance Opportunity Sheppard, Mullin, Richter & Hampton LLP
Jun
11
2019
 SEC Issues Alert On Outsourcing and Data Security Sheppard, Mullin, Richter & Hampton LLP
Feb
28
2020
 SEC and FINRA Signal Renewed Focus on Vendor Management in Two Key Areas: Cybersecurity and Market Access Rule Compliance Sheppard, Mullin, Richter & Hampton LLP
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