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
30
2020
 D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates Sheppard, Mullin, Richter & Hampton LLP
Dec
29
2014
 Second Circuit Holds RMBS-issued (Residential Mortgage-backed Securities) Certificates Are Exempt from the Trust Indenture Act (TIA) Sheppard, Mullin, Richter & Hampton LLP
Feb
11
2015
 Second Circuit Clarifies that Allegations of Direct Fraudulent Representations Are Not Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2015
 United States Supreme Court Resolves Circuit Split Regarding Section 11 Claims Predicated Upon Allegedly Misleading Statements of Opinion Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2015
 Delaware Supreme Court Reinforces Importance of Clear and Precise Bylaw Provisions and Specifically Drafted Notices of Annual Meetings Sheppard, Mullin, Richter & Hampton LLP
Oct
1
2021
 Delaware Supreme Court Holds that Equity Dilution and Expropriation Claims May Only Be Brought Derivatively, Overruling Prior Precedent Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2016
 Securities and Exchanges Commission Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Jul
29
2010
 The Regulatory March to Reform Executive Compensation Practices Takes Another Step Forward Sheppard, Mullin, Richter & Hampton LLP
Oct
10
2010
 Second Circuit Holds That No Private Right Of Action Exists Under Section 304 Of The Sarbanes-Oxley Act Sheppard, Mullin, Richter & Hampton LLP
Nov
1
2010
 New York's High Court Rejects Attempts to Expand Liability of Outside Professional Service Providers for Failing to Detect Corporate Fraud Sheppard, Mullin, Richter & Hampton LLP
Nov
22
2010
 SEC Enforcement Action Under Regulation FD For Implicit Communications To Selected Analysts Sheppard, Mullin, Richter & Hampton LLP
Jan
20
2011
 China's Supreme People's Court Issues Notice on Trial of Cases Involving Transfers of Nonperforming Assets to Foreign Investors Sheppard, Mullin, Richter & Hampton LLP
Feb
7
2011
 Delaware Supreme Court Reverses Chancery Court Dismissal Of Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
Feb
23
2011
 2010 Foreign Corrupt Practices Act "FCPA" Year In Review Sheppard, Mullin, Richter & Hampton LLP
Jun
12
2011
 California Court of Appeal Holds That State Courts Have Jurisdiction Over Securities Act Class Actions Unless the Action Is a "Covered Class Action" and Involves a "Covered Security" Under SLUSA Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2011
 Tenth Circuit Holds that "Forced Sellers" Resulting From a Squeeze Out Merger Lack Standing to Assert Claims Under Sections 11 and 12(a)(2) the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Oct
1
2011
 SEC Fee Rate Adjustment for Section 6(B), Section 13(E) and Section 14(G) To Be Effective October 1, 2011 Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2022
 Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud Sheppard, Mullin, Richter & Hampton LLP
Jan
23
2013
 Pfizer FCPA Settlement Emphasizes the Importance of Robust Compliance Programs for the Healthcare Industry Sheppard, Mullin, Richter & Hampton LLP
Apr
19
2023
 Supreme Court Holds That Respondents in Agency Enforcement Actions May Raise Constitutional Challenges Outside of Administrative Proceedings Sheppard, Mullin, Richter & Hampton LLP
Jul
5
2013
 Second Circuit Affirms Dismissal of Suits Brought by Madoff Trustee Against Banks Accused of Aiding Madoff Fraud Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2023
 State Comprehensive Privacy Laws – Beaver State Makes a Dozen Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2013
 Delaware Chancery Court Finds Merger "Entirely Fair" to Common Stockholders Despite the Merger Leaving Common Stockholders With No Consideration for Their Shares Sheppard, Mullin, Richter & Hampton LLP
Mar
27
2019
 SEC To Focus on Cybersecurity in 2019 Sheppard, Mullin, Richter & Hampton LLP
Apr
30
2019
 SEC Issues First No Action Letter on Crypto Tokens Sheppard, Mullin, Richter & Hampton LLP
Jun
5
2019
 Delaware Chancery Court Provides Useful Guidance for Protecting Pre-Merger Privileges in Post-Closing Litigation Between Buyers and Sellers Sheppard, Mullin, Richter & Hampton LLP
Jun
20
2014
 Current Trends and Risks in the Private Equity Industry Sheppard, Mullin, Richter & Hampton LLP
Jun
25
2014
 U.S. Supreme Court Decision Gives More Latitude to Defeat Securities Fraud Class Action Lawsuits Prior to Class Certification Sheppard, Mullin, Richter & Hampton LLP
May
27
2020
 Second Circuit Holds That Investors Who Delegate Discretionary Authority to Investment Advisors are not Members of a “Group” for Purposes of Section 16(b) Liability Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2020
 SEC and DOJ Adopt Memorandum of Understanding to Formalize Interagency Cooperation in the Securities Industry Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2015
 S.E.C. Adopts Final Rules Amending Regulation A Sheppard, Mullin, Richter & Hampton LLP
Dec
3
2020
 CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021 Sheppard, Mullin, Richter & Hampton LLP
May
26
2015
 Delaware Chancery Court Holds that Creditor Plaintiffs in Derivative Suits May Satisfy Standing Requirement by Showing Corporation’s Insolvency at Time of Suit, Regardless of Later Solvency Sheppard, Mullin, Richter & Hampton LLP
Aug
20
2021
 SEC Approves Nasdaq Diversity Rule Sheppard, Mullin, Richter & Hampton LLP
Oct
13
2015
 SEC Charges Investment Adviser for Failure to Disclose Acceleration of Monitoring Fees and Discounts on Legal Fees Sheppard, Mullin, Richter & Hampton LLP
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