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
3
2013
 Ninth Circuit Applies Securities Litigation Uniform Standards Act to Affirm Dismissal of Section 17200 Class Action Involving Variable Life Insurance Policies Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2013
 Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act of 1976 Premerger Notifications Effective February 11, 2013 Sheppard, Mullin, Richter & Hampton LLP
Apr
17
2018
 Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action Sheppard, Mullin, Richter & Hampton LLP
Mar
27
2013
 Second Circuit Reverses Class Certification Order, Holding That a Clearing Broker's Alleged Knowledge of Fraud Against Shareholders, Absence Direct Involvement, Is Insufficient to Create a Duty of Disclosure Sheppard, Mullin, Richter & Hampton LLP
May
11
2013
 SEC to Return Escrowed EB-5 Investment Funds to Immigrant Investors of Intercontinental Regional Center Trust of Chicago Sheppard, Mullin, Richter & Hampton LLP
Jul
12
2018
 SEC Expands the Definition of “Smaller Reporting Company” Sheppard, Mullin, Richter & Hampton LLP
Jun
1
2013
 California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: Qualified Small Business Stock (QSBS)) Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2018
 SEC Issues $1 Million Identity Theft Rule Fine Sheppard, Mullin, Richter & Hampton LLP
Aug
9
2013
 Still Standing: U.S. Court Upholds Securities and Exchange Commission (SEC) Conflicts Minerals Rule Sheppard, Mullin, Richter & Hampton LLP
Sep
7
2013
 The Foreign Corrupt Practices Act (FCPA) in the News: Big Scoops, Real Fallout Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 Second Circuit Holds That Issuer’s Alleged Statements Concerning Its Regulatory Compliance Efforts Do Not Constitute Material Misstatements Sheppard, Mullin, Richter & Hampton LLP
Sep
13
2023
 State Comprehensive Privacy Laws – The “First State” Officially Becomes the Thirteenth State with a Comprehensive Data Privacy Law Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2023
 SEC Gives Finality on Cybersecurity Disclosures for Public Companies Sheppard, Mullin, Richter & Hampton LLP
Oct
16
2023
 SEC Announces Charges Against Insiders for Reporting Failures and Adopts Amendments to Schedule 13D and 13G Report Filing Timelines Sheppard, Mullin, Richter & Hampton LLP
Feb
4
2014
 Second Circuit Affirms Dismissal of Short-Swing Profit Claim Against Goldman Sachs Arising from Six-Month Call Options Sheppard, Mullin, Richter & Hampton LLP
Oct
26
2023
 CARU Releases Metaverse Guidelines Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2023
 Ninth Circuit Provides Guidance on SEC Rule 16b-3 Short-Swing Profit Liability Exemption Sheppard, Mullin, Richter & Hampton LLP
Jan
31
2024
 French Insider Episode 29: Navigating Global Capital Markets with Erik Sloane of Cboe Global Markets [PODCAST] Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2020
 Coronavirus and Guidance on SEC Disclosures Sheppard, Mullin, Richter & Hampton LLP
Nov
22
2014
 Cyber-Breach & NISPOM Conforming Change 2 – It’s What’s on the Inside That Counts (National Industrial Security Program Operating Manual) Sheppard, Mullin, Richter & Hampton LLP
Sep
14
2020
 COVID-19 Enforcement Trends: March - August 2020 Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2020
 SEC Adopts Rule Amendments Aimed at Expanding Access to Capital Sheppard, Mullin, Richter & Hampton LLP
May
26
2015
 Second Circuit Narrows Scope of SLUSA Preclusion - Securities Litigation Uniform Standards Act Sheppard, Mullin, Richter & Hampton LLP
Nov
24
2015
 Ninth Circuit Severely Limits “Rogue Employee” Exception for Corporations in Securities Fraud Cases Sheppard, Mullin, Richter & Hampton LLP
Feb
7
2022
 Illinois Supreme Court Rules BIPA Claims Are Not Preempted by the Illinois Workers’ Compensation Act Sheppard, Mullin, Richter & Hampton LLP
Feb
26
2016
 REGULATORS, QUANT UP! New Rules from FINRA, SEC and CFTC Target Automated Algorithmic Trading Sheppard, Mullin, Richter & Hampton LLP
Jul
8
2010
 Arizona Federal District Court Holds That Securities & Exchange Commission Need Not Allege Wrongdoing On The Part Of CEO When Pursuing Reimbursement Under Section 304 Of Sarbanes-Oxley Act Sheppard, Mullin, Richter & Hampton LLP
Aug
21
2010
 The Transparency Monster Strikes Again: New Reporting Requirements For Executive Compensation And First-Tier Subcontract Awards Sheppard, Mullin, Richter & Hampton LLP
Nov
28
2016
 Rule 504 Becomes Useful Tool for Smaller Capital Raising and M&A Transactions Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2011
 Trends Developing after First Month of Say-on-Pay Votes Sheppard, Mullin, Richter & Hampton LLP
Feb
14
2017
 Jumpstart Our Business Startups Act: Let’s Finally Fix Crowdfunding! Sheppard, Mullin, Richter & Hampton LLP
Mar
3
2017
 SNAP IPO Debuts On New York Stock Exchange Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2011
 Second Circuit Holds that Falsity of Estimates of Goodwill and Loan Loss Reserves For Purposes of Sections 11 and 12(a)(2) of the Securities Act of 1933 Hinges on the Speakers' Subjective Belief in the Estimates' Accuracy Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2022
 NFT Insider Trading Charge Doesn’t Require the NFT To Be a Security Sheppard, Mullin, Richter & Hampton LLP
Nov
11
2022
 SEC Shifts Focus on Employees’ Off-Channel Business Communications to Investment Advisers Sheppard, Mullin, Richter & Hampton LLP
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