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
21
2020
 Exchange Relief: NYSE Provides Partial Waiver for Shareholder Approval of PIPE Transactions; Nasdaq Provides Relief Regarding Continued Listing Requirements Sheppard, Mullin, Richter & Hampton LLP
Dec
5
2014
 Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies Sheppard, Mullin, Richter & Hampton LLP
Dec
11
2014
 Second Circuit Limits “Tippee” Insider Trading Liability Sheppard, Mullin, Richter & Hampton LLP
Jan
5
2021
 UPDATED: The Reauthorization and Revival of the Paycheck Protection Program and Economic Injury Disaster Loan Program under the Economic Aid to Hard-Hit Small Businesses, Nonprofits, and Venues Act Sheppard, Mullin, Richter & Hampton LLP
May
4
2015
 Finally! SEC Proposes New Pay for Performance Disclosure Regulations Sheppard, Mullin, Richter & Hampton LLP
Jan
25
2022
 Higher Filing Thresholds for HSR Act Premerger Notifications and Interlocking Directorates Announced Sheppard, Mullin, Richter & Hampton LLP
Apr
6
2022
 California Court of Appeal Addresses Derivative Standing and Failure of Oversight Claims Under Delaware Law Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2016
 U.S. Targets Private Equity Funds for FCPA Scrutiny Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2016
 SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review Sheppard, Mullin, Richter & Hampton LLP
Jun
14
2010
 Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2010
 President Obama Signs Dodd-Frank Act Into Law Sheppard, Mullin, Richter & Hampton LLP
Dec
31
2010
 SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010 Sheppard, Mullin, Richter & Hampton LLP
Jul
11
2017
 Second Circuit Rejects First Circuit’s “Extreme Departure” Test for Assessing Materiality of an Alleged Omission of Interim Financial Information From Registration Statement Sheppard, Mullin, Richter & Hampton LLP
Sep
26
2017
 FCPA Accounting Provisions Have Teeth: Halliburton to Pay $29.2 Million to Settle FCPA Charges Sheppard, Mullin, Richter & Hampton LLP
Jan
12
2018
 Reminder to Perform Annual ISO/ESPP Reporting in January 2018 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
May
15
2023
 Hot Antitrust Enforcement Climate Reaches Private Equity Sheppard, Mullin, Richter & Hampton LLP
Nov
27
2018
 Smart Contract Developers – Beware and Lawyer Up! Sheppard, Mullin, Richter & Hampton LLP
May
25
2023
 SEC Off-Channel Communications Sweep Sheppard, Mullin, Richter & Hampton LLP
Aug
29
2013
 Argentina's Financial Fate Now Depends on the U.S. Supreme Court Sheppard, Mullin, Richter & Hampton LLP
Oct
28
2013
 Securities and Exchange Commission (SEC) Awards $14 Million to Whistleblower Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2013
 Dodd-Frank Whistleblower Protection: For America Only Sheppard, Mullin, Richter & Hampton LLP
Mar
6
2014
 United States Supreme Court Resolves Circuit Split and Narrows Scope of SLUSA - Securities Litigation Uniform Standards Act of 1998 Sheppard, Mullin, Richter & Hampton LLP
Oct
2
2019
 Gauging Interest: SEC Votes to Approve Proposal to Expand “Test-the-Waters” Rules Sheppard, Mullin, Richter & Hampton LLP
Oct
31
2019
 Regulatory Moves Show Financial Watchdogs Working Smarter, if Not Harder Sheppard, Mullin, Richter & Hampton LLP
Oct
4
2023
 Albermarle Agrees to Pay $218 Million to Settle Foreign Bribery Probe Sheppard, Mullin, Richter & Hampton LLP
Apr
18
2014
 Fourth Circuit Affirms Dismissal of Securities Fraud Complaint Where Inference of Scienter Was Not Sufficiently Strong Sheppard, Mullin, Richter & Hampton LLP
May
20
2014
 Does A Consumer’s Exercise of a Rescission Right Mean that the Loan Is Automatically Rescinded? Sheppard, Mullin, Richter & Hampton LLP
Jan
31
2020
 The SEC’s 2020 Examination Priorities Sheppard, Mullin, Richter & Hampton LLP
Mar
19
2020
 Delaware Supreme Court Confirms That Federal Forum Provision Is Facially Valid, Reversing Court of Chancery Sheppard, Mullin, Richter & Hampton LLP
Sep
22
2014
 Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule Sheppard, Mullin, Richter & Hampton LLP
May
15
2020
 SEC Offers Limited Rule Relief to Spur Small Business Crowdfunding During Pandemic Sheppard, Mullin, Richter & Hampton LLP
Apr
22
2024
 Organizational Integrity Shorts: The Importance of Post-Investigation Activities Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2014
 Delaware Court of Chancery Rejects Contemporaneous Ownership Requirement For Creditors Asserting Derivative Claims Sheppard, Mullin, Richter & Hampton LLP
Jun
29
2020
 Supreme Court Preserves But Limits SEC Disgorgement Power Sheppard, Mullin, Richter & Hampton LLP
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