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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Jan
12
2012
 Update on New Reporting Rules for Stock Splits, Recapitalizations, Mergers and Acquisitions 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
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
Jun
13
2023
 Ninth Circuit Enforces Delaware Forum Selection Clause to Affirm Dismissal of Derivative Claim for Alleged Violation of Section 14(a) of the Securities Exchange Act of 1934 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
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
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
Jul
15
2020
 SEC Issues New MD&A Guidance Regarding COVID-19 Sheppard, Mullin, Richter & Hampton LLP
Apr
22
2015
 A Change for the Better? The Arguments For and Against a Venture Exchange Sheppard, Mullin, Richter & Hampton LLP
Sep
7
2010
 Wall Street Reform Legislation Creates New Diversity Requirements for Government Contractors Sheppard, Mullin, Richter & Hampton LLP
Oct
5
2010
 SEC Stays New 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
Feb
6
2011
 Tenth Circuit Affirms High Standard For Scienter Pleading In Securities Fraud Cases Against Independent Auditors Sheppard, Mullin, Richter & Hampton LLP
Feb
21
2011
 Delaware Chancery Court Provides Further Clarification as to When the "Entire Fairness" Standard of Review is Appropriate and How It Will Be Applied Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2011
 SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2011
 California Court of Appeal Interprets "Controlling Person" Liability Under State and Federal Securities Laws Sheppard, Mullin, Richter & Hampton LLP
Mar
17
2017
 SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2011
 SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings Sheppard, Mullin, Richter & Hampton LLP
Dec
12
2011
 Delaware Supreme Court Clarifies Scope of Relief a Shareholder is Entitled For Inspection of Corporate Books And Records Pursuant To A Section 220 Demand Sheppard, Mullin, Richter & Hampton LLP
Jun
15
2022
 SEC Investigating Lack of Insider Trading Policies for NFT/Crypto Exchanges Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2013
 U.S. Supreme Court Holds that Class Action Securities Fraud Plaintiffs Need Not Prove the Materiality of the Alleged False Statements or Omissions to Support Certification of a Class, Resolving Circuit Split Sheppard, Mullin, Richter & Hampton LLP
Apr
26
2018
 Ninth Circuit Splits From Other Circuits, Holding That a Negligence Standard Applies to a Claim Challenging Tender Offer Disclosures Under Section 14(e) Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2018
 You Might Be an Inside Trader If…You Trade on Your Unconfirmed Suspicions of a Cybersecurity Event Prior to Its Public Revelation or Disclosure Sheppard, Mullin, Richter & Hampton LLP
Aug
22
2013
 Potential Challenges Associated With California's Revised Uniform Limited Liability Company Act Scheduled to Take Effect on January 1, 2014 Sheppard, Mullin, Richter & Hampton LLP
Jan
15
2019
 Regulation A May Prove Useful Alternative to Form S-4 Registration for Public Companies Doing Smaller M&A Deals Sheppard, Mullin, Richter & Hampton LLP
Mar
5
2019
 Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2013
 Third Circuit Joins With the Seventh, Ninth and Eleventh Circuits in Holding That Plaintiffs Asserting 1933 Act Claims Need Not Plead Compliance With the Statute of Limitations, Splitting With the First, Eighth and Tenth Circuits Sheppard, Mullin, Richter & Hampton LLP
Oct
31
2013
 Crowdfunding Moves Forward: The Securities and Exchange Commission (SEC) Issues Proposed Rules on Crowdfunding Sheppard, Mullin, Richter & Hampton LLP
Sep
14
2023
 What Do the CPPA’s Draft Regulations on Risk Assessments and Cybersecurity Audits Mean for Companies? Sheppard, Mullin, Richter & Hampton LLP
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