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
27
2016
 SEC Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2010
 Ninth Circuit Holds That Scienter May Be Established Through An Objective Evaluation Of A Defendant's Deliberate Recklessness Sheppard, Mullin, Richter & Hampton LLP
Oct
13
2010
 California Court Of Appeal Holds That Shareholders Have Standing To Pursue Derivative Actions After Dissolution Of A Corporation Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2010
 Delaware Supreme Court Clarifies Law Regarding Standing of Plaintiff-Shareholders to Bring a Post-Merger Double Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 A MATRIXX Revolution, Part II: Supreme Court affirms Ninth Circuit's holding that Life Science Companies Cannot Rely On a Statistical Significance Standard When Deciding Whether Adverse Event Reports are Material for the Purpose of Securities Disclosures Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2022
 Crypto Interest-Bearing Accounts, the Next Target? Sheppard, Mullin, Richter & Hampton LLP
Aug
27
2011
 California Court of Appeal Refuses to Permit an Action for Rescission of a Strategic Transaction, Holding That a Board Has No Duty Under California Law to Include a "Fiduciary Out" Sheppard, Mullin, Richter & Hampton LLP
Oct
3
2011
 How to Turn a Bankruptcy Reorganization Into an Insider Trading Charge Sheppard, Mullin, Richter & Hampton LLP
Feb
1
2012
 Public Company Control Alert: NYSE Acts to Further Limit Broker Votes on Specified Corporate Governance Proposals Sheppard, Mullin, Richter & Hampton LLP
Oct
18
2022
 NYAG Delivers on Promise to Rein In Unregistered Crypto Lending with New Suit Sheppard, Mullin, Richter & Hampton LLP
Jul
26
2017
 SEC Declares That Initial Coin Offerings (ICOs) May Be Securities; Finds DAO a Security Sheppard, Mullin, Richter & Hampton LLP
Feb
3
2013
 Ninth Circuit Applies Securities Litigation Uniform Standards Act to Affirm Dismissal of Section 17200 Class Action Involving Variable Life Insurance Policies Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2013
 Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act of 1976 Premerger Notifications Effective February 11, 2013 Sheppard, Mullin, Richter & Hampton LLP
Apr
17
2018
 Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action Sheppard, Mullin, Richter & Hampton LLP
Mar
27
2013
 Second Circuit Reverses Class Certification Order, Holding That a Clearing Broker's Alleged Knowledge of Fraud Against Shareholders, Absence Direct Involvement, Is Insufficient to Create a Duty of Disclosure Sheppard, Mullin, Richter & Hampton LLP
May
11
2013
 SEC to Return Escrowed EB-5 Investment Funds to Immigrant Investors of Intercontinental Regional Center Trust of Chicago Sheppard, Mullin, Richter & Hampton LLP
Jul
12
2018
 SEC Expands the Definition of “Smaller Reporting Company” Sheppard, Mullin, Richter & Hampton LLP
Jun
1
2013
 California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: Qualified Small Business Stock (QSBS)) Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2018
 SEC Issues $1 Million Identity Theft Rule Fine Sheppard, Mullin, Richter & Hampton LLP
Aug
9
2013
 Still Standing: U.S. Court Upholds Securities and Exchange Commission (SEC) Conflicts Minerals Rule Sheppard, Mullin, Richter & Hampton LLP
Sep
7
2013
 The Foreign Corrupt Practices Act (FCPA) in the News: Big Scoops, Real Fallout Sheppard, Mullin, Richter & Hampton LLP
Sep
13
2023
 State Comprehensive Privacy Laws – The “First State” Officially Becomes the Thirteenth State with a Comprehensive Data Privacy Law Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 Second Circuit Holds That Issuer’s Alleged Statements Concerning Its Regulatory Compliance Efforts Do Not Constitute Material Misstatements Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2023
 SEC Gives Finality on Cybersecurity Disclosures for Public Companies Sheppard, Mullin, Richter & Hampton LLP
Oct
16
2023
 SEC Announces Charges Against Insiders for Reporting Failures and Adopts Amendments to Schedule 13D and 13G Report Filing Timelines Sheppard, Mullin, Richter & Hampton LLP
Oct
26
2023
 CARU Releases Metaverse Guidelines Sheppard, Mullin, Richter & Hampton LLP
Feb
4
2014
 Second Circuit Holds Delaware Fiduciary Duty Law Preempted By Federal Interest In Fiscal Stability Sheppard, Mullin, Richter & Hampton LLP
Oct
3
2019
 Third Circuit Holds that SLUSA Does Not Preclude Class Action Opt-Outs from Pursuing Individual Actions Sheppard, Mullin, Richter & Hampton LLP
Mar
26
2024
 Lesson Learned: Man Charged with Insider Trading After Misappropriating Information from Wife’s Work-From-Home Calls Sheppard, Mullin, Richter & Hampton LLP
May
22
2014
 First Circuit Affirms District Court’s Exclusion of Event Study as Unreliable Under Daubert Sheppard, Mullin, Richter & Hampton LLP
Mar
3
2020
 Buyers (And Sellers) Beware!: SEC Observations on Cybersecurity and Resiliency Sheppard, Mullin, Richter & Hampton LLP
Sep
9
2014
 NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee Sheppard, Mullin, Richter & Hampton LLP
Jun
8
2020
 FinCEN Issues Notice on SARs Filing Figures Sheppard, Mullin, Richter & Hampton LLP
Aug
25
2021
 SEC Fine Highlights Importance of Cybersecurity Disclosures Sheppard, Mullin, Richter & Hampton LLP
Sep
22
2021
 Class Action Waivers Redux: Ninth Circuit Upholds Arbitration Provision Delegating Enforceability Determination to Arbitrator Sheppard, Mullin, Richter & Hampton LLP
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