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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May
12
2014
 Delaware Court of Chancery Underscores Heightened Pleading Standard Necessary to Support a Claim for Breach of Fiduciary Duty In Connection With a Merger Sheppard, Mullin, Richter & Hampton LLP
Mar
20
2020
 The SEC’s COVID-19 Response Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2020
 Issues Regarding SEC Proposal to Expand Private Offering Exemptions Sheppard, Mullin, Richter & Hampton LLP
May
13
2020
 Fifth Circuit Holds that Law Firm Cannot Claim Privilege Over Client Identity in IRS Probe Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2020
 Fed Provides Further Updates to Main Street Lending Program, Expanding Availability in Advance of Program Launch Sheppard, Mullin, Richter & Hampton LLP
Jun
25
2020
 Supreme Court Limits SEC’s Authority to Disgorge Ill-Gotten Gains in Civil Suits Sheppard, Mullin, Richter & Hampton LLP
Aug
25
2020
 Fifth Circuit Affirms Dismissal Section 14(a) Complaint For Failure to Plead Facts Demonstrating Alleged Omissions from Proxy Statement Were Misleading Sheppard, Mullin, Richter & Hampton LLP
Jun
1
2021
 Game On: FINRA Hints at Upcoming Gamification Sweep Sheppard, Mullin, Richter & Hampton LLP
Aug
3
2021
 Second Circuit Upholds Enforceability of SEC Tolling Agreements Sheppard, Mullin, Richter & Hampton LLP
Jan
7
2016
 When Voluntary Self-Disclosure Isn’t so Voluntary: SEC Says Self-Disclose or Forfeit Non-Prosecution and Deferred Prosecution Sheppard, Mullin, Richter & Hampton LLP
Aug
13
2010
 2010 Mid-Year Securities Litigation Reports That New Federal Securities Class Action Filings Continue To Decline, Returning To Pre-Recession Levels Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2010
 Dodd-Frank: What Non-Financial Foreign Private Issuers Need to Know Sheppard, Mullin, Richter & Hampton LLP
Sep
30
2010
 ALERT: Legal Challenge To SEC's Recently Adopted Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Nov
19
2010
 Fifth Circuit Rejects Section 10(B) Scheme Liability in Absence of Explicit Attribution of Conduct or Statements to Defendant Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2011
 New Internal Revenue Code Section 162(m) Proposed Regulations Take Surprising Position on Restricted Stock Unit Grants Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2011
 Second Circuit Addresses Materiality at the Pleadings Stage in Two Recent Decisions Sheppard, Mullin, Richter & Hampton LLP
Sep
25
2011
 U.S. Department of Labor to Reconsider Proposed Regulation Impacting ESOP Appraisers Sheppard, Mullin, Richter & Hampton LLP
Dec
3
2011
 Using the Internet to Your Company's Advantage in Defending Against A Whistleblower Action Sheppard, Mullin, Richter & Hampton LLP
Jan
12
2012
 Update on New Reporting Rules for Stock Splits, Recapitalizations, Mergers and Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Nov
4
2022
 Another Seven Year Wait is Over! SEC Finalizes Regulations on Clawback of Incentive Compensation for Restated Financial Statements Sheppard, Mullin, Richter & Hampton LLP
Nov
30
2017
 The Numbers Don’t Lie: The SEC Pursues a More Streamlined Enforcement Agenda Sheppard, Mullin, Richter & Hampton LLP
May
15
2023
 Hot Antitrust Enforcement Climate Reaches Private Equity Sheppard, Mullin, Richter & Hampton LLP
May
25
2023
 SEC Off-Channel Communications Sweep Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2018
 Regulation Best Interest: The SEC’s Responds To The DOL’s Fiduciary Rule Sheppard, Mullin, Richter & Hampton LLP
Nov
28
2018
 SEC Enforcement’s Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, and Individual Accountability Sheppard, Mullin, Richter & Hampton LLP
Jan
14
2019
 Delaware Court of Chancery Declares Ineffective Exclusive Federal Forum Provision for 1933 Act Claims Sheppard, Mullin, Richter & Hampton LLP
Feb
5
2019
 SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2013
 Tenth Circuit Finds that Jury Must Determine Whether “Notes Are Securities” in a Securities Fraud Action Sheppard, Mullin, Richter & Hampton LLP
Nov
7
2013
 California Court of Appeal Holds That Challenges to Corporate Elections Under Corporations Code Section 709 May Be Predicated Upon Breach of Fiduciary Duty and Conflict of Interest Allegations Sheppard, Mullin, Richter & Hampton LLP
Apr
16
2019
 New Effort to Exempt Crypto Currency from Certain SEC, Tax and Other Regulatory Burdens Sheppard, Mullin, Richter & Hampton LLP
Oct
4
2023
 Albermarle Agrees to Pay $218 Million to Settle Foreign Bribery Probe Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2019
 SEC Looks to Modernize Disclosure Approach Sheppard, Mullin, Richter & Hampton LLP
Oct
16
2019
 Third Circuit Reversal a Pyrrhic Win for SEC in Ongoing Statute of Limitations Saga Sheppard, Mullin, Richter & Hampton LLP
Apr
22
2024
 Organizational Integrity Shorts: The Importance of Post-Investigation Activities Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2014
 Changes on Horizon for Equity Compensation Plans as ISS (Institutional Shareholder Services Inc.) Issues New Draft Policy Sheppard, Mullin, Richter & Hampton LLP
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