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 Sort descending
Jun
2
2009
What The “Subprime Crisis” Really Means For Your Business
Jun
5
2009
Roundtable: Part I – Corporate Internal Investigations: Early Stages
Jun
5
2009
Roundtable: Part II – Corporate Internal Investigations: Later Stages
Jun
6
2009
Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Mar
3
2018
Kushner’s Bad Week: Losing Clearance, Suspicious Business Activities, and the Looming Russia Investigation
Apr
10
2015
Equity Firm Agrees to Pay $3 Million to NM State Investment Counsel for Moneys Tied to Pay For Play Scheme
Dec
11
2018
Start Raising Capital Or Wait For Additional Guidance? Sills Cummis & Gross P.C.
Jun
29
2012
What Plan Fiduciaries Should Do in Connection with the New Fee Disclosure Rules Effective July 1st Sills Cummis & Gross P.C.
May
2
2013
Practical Discussion Of Issues And Effective Strategies For Internal Investigations Sills Cummis & Gross P.C.
May
21
2012
Adapting To Market Conditions: Joint-Venture Considerations For The Institutional Real Estate Investor And Its Legal Counsel Sills Cummis & Gross P.C.
Aug
9
2010
Is Electing an Independent Board Member Right for Your Business? Exploring the Pros and Cons Much Shelist, P.C.
Feb
15
2011
401(k) Fees: A Hot Topic for Plan Fiduciaries and Participants Much Shelist, P.C.
May
19
2009
Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies Much Shelist, P.C.
Mar
18
2012
Contractual Non-Reliance Clauses: Insulating Defendants from Civil Fraud Claims Since 1995 Much Shelist, P.C.
May
26
2009
Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests Much Shelist, P.C.
Feb
4
2015
Seventh Circuit: SEC Filing May Constitute Title VII Retaliation Much Shelist, P.C.
Mar
5
2010
Roth IRAs: The Conversion Decision Much Shelist, P.C.
Feb
26
2011
The Illinois Securities Law: The Remedy Is Rescission Much Shelist, P.C.
May
17
2010
Finding Optimism in the Private Equity and Venture Capital Markets Much Shelist, P.C.
Feb
4
2012
Buyers Beware: You May Be Assuming Superfund Liability in an Asset Deal Much Shelist, P.C.
May
21
2012
Fill for the Funding Dip: EB-5 Visas Much Shelist, P.C.
Jul
7
2009
Recent Developments in Legal Ethics, January 2005 Fairfield and Woods P.C.
Mar
10
2013
U.S. Supreme Court Declines to Apply the "Discovery Rule" to Extend the Five-Year Statute of Limitations for SEC Punitive Fraud Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2018
New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations Sheppard, Mullin, Richter & Hampton LLP
Jun
12
2023
FDIC, FRB & OCC Issue Final Guidance on Risk Management for Third-Party Relationships Sheppard, Mullin, Richter & Hampton LLP
Jul
10
2023
Hsu Suggests Caution in Rollout of AI and Tokenization in Banking Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2013
SEC Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings – Will Significantly Affect Permissible EB-5 Marketing Practices Sheppard, Mullin, Richter & Hampton LLP
Aug
2
2013
Rules Eliminating the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings Become Effective September 23, 2013 Sheppard, Mullin, Richter & Hampton LLP
Aug
28
2013
Eighth Circuit Applies Negligence Standard to Securities and Exchange Commission (SEC) Enforcement Claims for Violations of Section 14(a) and Rules 14a-9, 13b2-1 and 13b2-2 Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2013
Shanghai Pilot Free Trade Zone (PFTZ) Sheppard, Mullin, Richter & Hampton LLP
Sep
13
2023
SEC Enforcements Against NFTs – Are You Next? 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
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
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
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
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins