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
Feb
26
2016
 REGULATORS, QUANT UP! New Rules from FINRA, SEC and CFTC Target Automated Algorithmic Trading Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2016
 SEC Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2010
 Ninth Circuit Holds That Scienter May Be Established Through An Objective Evaluation Of A Defendant's Deliberate Recklessness Sheppard, Mullin, Richter & Hampton LLP
Oct
13
2010
 California Court Of Appeal Holds That Shareholders Have Standing To Pursue Derivative Actions After Dissolution Of A Corporation Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2010
 Delaware Supreme Court Clarifies Law Regarding Standing of Plaintiff-Shareholders to Bring a Post-Merger Double Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 A MATRIXX Revolution, Part II: Supreme Court affirms Ninth Circuit's holding that Life Science Companies Cannot Rely On a Statistical Significance Standard When Deciding Whether Adverse Event Reports are Material for the Purpose of Securities Disclosures Sheppard, Mullin, Richter & Hampton LLP
Aug
27
2011
 California Court of Appeal Refuses to Permit an Action for Rescission of a Strategic Transaction, Holding That a Board Has No Duty Under California Law to Include a "Fiduciary Out" Sheppard, Mullin, Richter & Hampton LLP
Oct
3
2011
 How to Turn a Bankruptcy Reorganization Into an Insider Trading Charge Sheppard, Mullin, Richter & Hampton LLP
Feb
1
2012
 Public Company Control Alert: NYSE Acts to Further Limit Broker Votes on Specified Corporate Governance Proposals Sheppard, Mullin, Richter & Hampton LLP
Jul
26
2017
 SEC Declares That Initial Coin Offerings (ICOs) May Be Securities; Finds DAO a Security 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
Mar
5
2018
 Crypto-Crime: The SEC and DOJ Go After BitFunder and Its BitFounder Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2013
 Third Circuit Reinforces Limits to Directors' Exposure for Misconduct by Corporate Employees Sheppard, Mullin, Richter & Hampton LLP
Apr
5
2013
 Deadline for Filing FICA Tax Refunds is April 15 Sheppard, Mullin, Richter & Hampton LLP
Apr
10
2013
 Delaware and California Courts Split as to Whether a Reverse Triangular Merger Results In an Assignment By Operation of Law, Creating Potential Pitfalls for Delaware and Other Foreign Corporations Located in California Sheppard, Mullin, Richter & Hampton LLP
Jun
11
2013
 A Rising Voice on Foreign Corrupt Practices Act (FCPA) Compliance: The Court Sheppard, Mullin, Richter & Hampton LLP
Jun
22
2013
 Fifth Circuit Holds That Securities Fraud Defendants May Not Rebut the Fraud-on-the-Market Presumption at the Class Certification Stage Through Evidence of No Price Impact Sheppard, Mullin, Richter & Hampton LLP
Jan
26
2019
 California Court of Appeal Enforces Delaware Forum Selection Bylaw Sheppard, Mullin, Richter & Hampton LLP
Oct
25
2013
 Second Circuit Applies Morrison to Criminal Prosecution Under Section 10(b) and Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2019
 Israel Expresses Concerns Over Investment Fund Security Measures Sheppard, Mullin, Richter & Hampton LLP
Sep
8
2023
 Stock Exchange Deadline Approaches for Adopting SEC Compliant Clawback Policy Sheppard, Mullin, Richter & Hampton LLP
May
1
2019
 Opportunity Zones Update: New Proposed Treasury Regulations (PART I) Sheppard, Mullin, Richter & Hampton LLP
Jan
17
2014
 SEC (Securities and Exchange Commission) Announces 2014 Examination Priorities for Investment Advisers Sheppard, Mullin, Richter & Hampton LLP
Feb
4
2014
 Second Circuit Holds Delaware Fiduciary Duty Law Preempted By Federal Interest In Fiscal Stability Sheppard, Mullin, Richter & Hampton LLP
Nov
16
2023
 China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer Sheppard, Mullin, Richter & Hampton LLP
Oct
3
2019
 Third Circuit Holds that SLUSA Does Not Preclude Class Action Opt-Outs from Pursuing Individual Actions Sheppard, Mullin, Richter & Hampton LLP
May
22
2014
 First Circuit Affirms District Court’s Exclusion of Event Study as Unreliable Under Daubert Sheppard, Mullin, Richter & Hampton LLP
Mar
3
2020
 Buyers (And Sellers) Beware!: SEC Observations on Cybersecurity and Resiliency Sheppard, Mullin, Richter & Hampton LLP
Sep
9
2014
 NASDAQ Proposes The Adoption Of A New All-Inclusive Annual Listing Fee Sheppard, Mullin, Richter & Hampton LLP
Jun
8
2020
 FinCEN Issues Notice on SARs Filing Figures Sheppard, Mullin, Richter & Hampton LLP
Aug
25
2021
 SEC Fine Highlights Importance of Cybersecurity Disclosures Sheppard, Mullin, Richter & Hampton LLP
Sep
22
2021
 Class Action Waivers Redux: Ninth Circuit Upholds Arbitration Provision Delegating Enforceability Determination to Arbitrator Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2021
 Implications of SEC’s Scrutiny of Data Use Representations Sheppard, Mullin, Richter & Hampton LLP
Feb
2
2016
 SEC Releases 2016 Examination Priorities Sheppard, Mullin, Richter & Hampton LLP
Feb
14
2022
 China Issued Amended Cybersecurity Review Measures Sheppard, Mullin, Richter & Hampton LLP
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