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
Apr
16
2023
 SEC’s Proposed Conflicts of Interest Rule May Impede Hedging Sheppard, Mullin, Richter & Hampton LLP
May
11
2013
 U.S. Citizenship and Immigration Services (USCIS) EB-5 Engagement with Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
May
21
2013
 Senator Leahy’s EB-5 Amendment Added to Comprehensive Immigration Reform Bill Sheppard, Mullin, Richter & Hampton LLP
Aug
22
2018
 SEC Approves Updated Disclosure Requirements Sheppard, Mullin, Richter & Hampton LLP
Jul
20
2023
 FTC Reaches Settlement with Crypto Platform Sheppard, Mullin, Richter & Hampton LLP
Jul
11
2013
 Securities and Exchange Commission (SEC) Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings Sheppard, Mullin, Richter & Hampton LLP
Dec
19
2018
 Loan Syndication and EU Competition Law Sheppard, Mullin, Richter & Hampton LLP
Sep
5
2023
 Texas’ SCOPE Act Puts Focus on Social Media and Minors Sheppard, Mullin, Richter & Hampton LLP
Feb
6
2019
 Court Finds Cybersecurity-Related Claims Sufficient in Securities Class Action Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 ICSID 2018 Caseload Reflects Continued Uptick of Investor-State Arbitrations Sheppard, Mullin, Richter & Hampton LLP
Apr
1
2019
 United States Supreme Court Holds That Knowing Dissemination of False Statements Made by Others Can Constitute Primary “Scheme Liability” In Violation of Rule 10b-5(a) and (c) Sheppard, Mullin, Richter & Hampton LLP
Nov
9
2013
 Setting The Record Straight On The New General Solicitation Rules Sheppard, Mullin, Richter & Hampton LLP
Apr
29
2019
 SEC Issues Risk Alert on Customer Privacy Safeguards Sheppard, Mullin, Richter & Hampton LLP
Dec
18
2013
 Considerations for 2014 Proxy Season and Beyond Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2014
 D.C. Appellate Court Issues Opinion on SEC’s Conflict Minerals Rule - Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Jul
7
2014
 Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement Sheppard, Mullin, Richter & Hampton LLP
Aug
15
2014
 Securities Fraud: Cherry-Picking & Soft Dollars Sheppard, Mullin, Richter & Hampton LLP
Apr
18
2020
 Primary And Secondary Market Corporate Credit Facilities Sheppard, Mullin, Richter & Hampton LLP
Oct
9
2014
 Beyond the Checklist: Seven Keys to Effective Trade Due Diligence Sheppard, Mullin, Richter & Hampton LLP
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
Sep
13
2016
 Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification, Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement Sheppard, Mullin, Richter & Hampton LLP
Jul
30
2010
 Ninth Circuit Holds That Safe Harbor Provision Of The Reform Act Applies To Forward-Looking Statements Accompanied By Cautionary Language And Forward-Looking Statements Made Without Actual Knowledge Of Falsity Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2010
 District Court Holds No D&O Insurance Coverage for Attorneys' Fees and Costs Incurred in Voluntary Response to SEC Investigation Sheppard, Mullin, Richter & Hampton LLP
Jan
23
2011
 Companies Should Not Take Lightly the Need for Full Compliance with the SEC's Executive Compensation Disclosure Rules Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 United States Supreme Court Reiterates Materiality Standard For Securities Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2011
 Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
Jun
18
2022
 NFT Insider Trading – Can There Be A Crime If It’s Not A Security? Sheppard, Mullin, Richter & Hampton LLP
Jan
14
2012
 SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2022
 SEC Adopts New Executive Compensation Clawback and Disclosure Rule Sheppard, Mullin, Richter & Hampton LLP
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