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
Oct
11
2013
 Shanghai Pilot Free Trade Zone (PFTZ) Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2014
 California Court of Appeal Clarifies Rights of Dissenting Minority Shareholders Under California Corporation Code § 1312(b) Sheppard, Mullin, Richter & Hampton LLP
Aug
20
2019
 Fifth Circuit Affirms Enron Broker Not Liable to Employee Stock Option Holders for False or Withheld Information Sheppard, Mullin, Richter & Hampton LLP
May
10
2014
 Second Circuit Applies Morrison v. National Australia Bank to Allow Certain Extraterritorial Application of RICO Sheppard, Mullin, Richter & Hampton LLP
May
15
2014
 China Securities Regulatory Commission (CSRC) Issued New Drafts of Administrative Measures on Acquisition of Unlisted Public Companies for Public Comment Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2022
 The Seven Year Wait is Over! SEC Finalizes New Pay Versus Performance Disclosure Regulations Sheppard, Mullin, Richter & Hampton LLP
Mar
19
2020
 SEC Amends Definitions of “Accelerated Filer” and “Large Accelerated Filer” and Provides Relief to Small Issuers from Auditor Attestation Requirements Sheppard, Mullin, Richter & Hampton LLP
May
27
2020
 SEC Adopts Comprehensive Changes to “Significance” Tests and Financial Disclosure Requirements of Acquired and Disposed Businesses Sheppard, Mullin, Richter & Hampton LLP
Nov
13
2014
 FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process Sheppard, Mullin, Richter & Hampton LLP
Jul
7
2020
 Interplay of Main Street Lending Program Documents: the Rights and Role of the Main Street Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2020
 Some Strings Attached: Main Street Lending Program And Private Company M&A Sheppard, Mullin, Richter & Hampton LLP
Aug
16
2021
 SEC’s French Order is First Ever Substituted Compliance Determination in Connection with Capital and Margin Requirements Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2024
 DOJ and SEC Officials Issue Harsh Warnings Concerning the Misuse of AI Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2021
 SEC Publishes Sample Letter to Companies on Environmental Disclosures Sheppard, Mullin, Richter & Hampton LLP
Mar
24
2022
 SEC Proposes Rules Requiring Climate-Related Disclosures from Registered Public Companies Sheppard, Mullin, Richter & Hampton LLP
Jun
11
2010
 Delaware Chancery Court Dismisses Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
Jul
17
2010
 Senate Passes Dodd-Frank Wall Street Reform and Consumer Protection Act Sheppard, Mullin, Richter & Hampton LLP
Aug
27
2010
 D.C. Circuit Vacates Proposed Fee For NYSE Arca "Depth-Of-Book" Data And Remands To SEC For Further Review Sheppard, Mullin, Richter & Hampton LLP
Sep
20
2010
 Third Circuit Rejects the "Fraud-Created-The-Market" Theory of Reliance in a Section 10(B) Private Securities Fraud Action Sheppard, Mullin, Richter & Hampton LLP
Nov
30
2016
 Changes In Intrastate Crowdfunding SEC Rules: Will They Make A Difference? Sheppard, Mullin, Richter & Hampton LLP
Jan
28
2011
 Delaware Supreme Court Holds That Chancery Court Is Not Bound By Merger Price Or Fairness Opinion In Appraisal Proceedings Under Delaware General Corporate Law Section 262(h) Sheppard, Mullin, Richter & Hampton LLP
Oct
17
2011
 Delaware Supreme Court Clarifies When a Series of Dispositions will not Trigger an "All or Substantially All" Indenture Covenant Sheppard, Mullin, Richter & Hampton LLP
Jan
6
2012
 New York High Court Holds That State Blue Sky Law Does Not Preempt Common Law Claims Involving Securities Sheppard, Mullin, Richter & Hampton LLP
Sep
26
2017
 At Last! Relaxation of Federal Securities Regulations for Private Company Stock Incentive Awards may be on the Horizon Sheppard, Mullin, Richter & Hampton LLP
Dec
12
2017
 SEC Takes $15 Million Bite Out of an ICO Sheppard, Mullin, Richter & Hampton LLP
Feb
18
2013
 Between Mortar and Pestle: Securities and Exchange Commission (SEC) Pressure Grinds Auditors Against People's Republic of China (PRC) State Interests Sheppard, Mullin, Richter & Hampton LLP
Mar
13
2013
 Second Circuit Rules That Putative Auction Rate Securities Class Action Complaints Failed to Adequately Plead Antitrust Conspiracy Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2018
 Court Rules Cryptocurrencies Can Be Regulated By The CFTC As Commodities Sheppard, Mullin, Richter & Hampton LLP
Jun
25
2013
 Affiliating with a Broker-Dealer Sheppard, Mullin, Richter & Hampton LLP
Jul
29
2013
 China Securities Regulatory Commission (CSRC) Became Sole Regulator of Private Equity (PE) Industry Sheppard, Mullin, Richter & Hampton LLP
Aug
10
2013
 Still Standing: U.S. Court Upholds SEC Conflicts Minerals Rule Sheppard, Mullin, Richter & Hampton LLP
Feb
1
2019
 Expansion of Regulation A to Reporting Companies: Increased Alternatives Now Available to Public Companies Seeking to Raise Capital or for Mergers and Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2014
 U.S. Securities & Exchange Commision (SEC) Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2022
 Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud Sheppard, Mullin, Richter & Hampton LLP
Sep
4
2014
 Second Circuit Defines “Customer” for Mandatory FINRA Arbitration Sheppard, Mullin, Richter & Hampton LLP
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