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
Aug
30
2010
 Third Circuit Holds That Mixed Present/Future Statements Are Protected By Reform Act Safe Harbor Sheppard, Mullin, Richter & Hampton LLP
Jun
24
2011
 Does Your Sarbanes-Oxley Act Compliance Program Reflect Your Social Media Presence? Sheppard, Mullin, Richter & Hampton LLP
Jul
10
2011
 New Developments for Foreign Special Purpose Companies and Round-Trip Investment 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
Sep
19
2022
 SEC Releases Pay Versus Performance Disclosure Requires For Public Companies Sheppard, Mullin, Richter & Hampton LLP
Jan
12
2018
 Reminder to Perform Annual ISO/ESPP Reporting in January 2018 Sheppard, Mullin, Richter & Hampton LLP
Nov
27
2018
 Smart Contract Developers – Beware and Lawyer Up! 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
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
Feb
16
2024
 Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts 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
26
2024
 Lost-Premium Damages under Merger Agreement – Proposed Amendment to the DGCL in Light of Crispo vs. Musk 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
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
Jan
6
2015
 Ninth Circuit Holds that Under Nevada Law, a Prior Stockholder’s Litigation of Demand Futility Precludes Another Stockholder From Litigating Demand Futility In a Subsequent Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Feb
24
2021
 Delaware Court of Chancery Holds that a Contractual Delaware Choice of Law Provision Did Not Waive Plaintiff’s Claim Under the California Securities Act Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2021
 Biden Officials Request Comments on Challenges Facing Key Sectoral Supply Chain Disputes Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2016
 SEC Launches Dedicated FINRA Oversight Unit: Watching the Detectives Sheppard, Mullin, Richter & Hampton LLP
Jul
23
2010
 Dodd-Frank Redefines "Accredited Investor" Sheppard, Mullin, Richter & Hampton LLP
Aug
31
2010
 Ninth Circuit Rejects Private Right Of Action To Enforce Section 13(a) Of The Investment Company Act Of 1940 Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2010
 Second Circuit Rejects Application Of "Bespeaks Caution" Doctrine To Statement Containing Both Historical And Forward-Looking Elements Sheppard, Mullin, Richter & Hampton LLP
Oct
25
2010
 Delaware Supreme Court Requires Credible Evidence of a "Proper Purpose" to Review a Corporation's Books and Records Sheppard, Mullin, Richter & Hampton LLP
Feb
3
2011
 District Of Columbia Circuit Holds That Certifications In Financial Statements Do Not Constitute Omissions That Qualify For A Presumption Of Reliance In Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Mar
23
2011
 The Latest Results and Trends after Second Month of Say-on-Pay Voting Sheppard, Mullin, Richter & Hampton LLP
Jul
24
2011
 D.C. Circuit Invalidates SEC's Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
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