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
Nov
18
2022
 Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud Sheppard, Mullin, Richter & Hampton LLP
Jan
26
2013
 FINRA Adopts Rule 5123 Requiring the Filing of Offering Documents Used in Private Placements of Securities Sheppard, Mullin, Richter & Hampton LLP
Feb
10
2013
 Federal Trade Commission (FTC) Proposes Amendments To The Hart-Scott-Rodino Rules Regarding Withdrawal Of A Premerger Notification Filing Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2018
 SEC Takes Baby Steps on Cyber, but Signals Greater Vigilance Sheppard, Mullin, Richter & Hampton LLP
Mar
11
2013
 Second Circuit Reverses Dismissal of Securities Act Violation Claims, Holding that Plaintiff's Allegations Were Sufficient to Plead a Reasonable Inference of Misrepresentations in a Prospectus Sheppard, Mullin, Richter & Hampton LLP
Apr
19
2023
 Supreme Court Holds That Respondents in Agency Enforcement Actions May Raise Constitutional Challenges Outside of Administrative Proceedings Sheppard, Mullin, Richter & Hampton LLP
May
13
2013
 Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firms Sheppard, Mullin, Richter & Hampton LLP
Aug
23
2018
 Is There a Unicorn Among ICO Issuers? Sheppard, Mullin, Richter & Hampton LLP
Sep
27
2018
 New York Federal Court’s View on Cryptocurrency as Securities Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2023
 State Comprehensive Privacy Laws – Beaver State Makes a Dozen Sheppard, Mullin, Richter & Hampton LLP
Nov
1
2018
 Our Music Festival - Empowering a Decentralized Fanbase with Blockchain Sheppard, Mullin, Richter & Hampton LLP
Mar
18
2020
 Impacts of Covid-19 on Closing M&A Transactions Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2020
 Maybe the FTC Can’t Take That to the Bank: The Supreme Court’s Decision in Liu v. SEC and Its Implications for the FTC’s Ability to Seek Equitable Monetary Relief Sheppard, Mullin, Richter & Hampton LLP
Dec
19
2014
 Bringing the Individual Accredited Investor Into the 21st Century Sheppard, Mullin, Richter & Hampton LLP
Sep
9
2020
 Delaware Court of Chancery Clarifies that Management Cannot Unilaterally Curtail a Director’s Access to Corporation’s Privileged Information Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2020
 CFTC Throws its Hat into the Corporate Compliance Arena Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2015
 “Dead Hand Proxy Puts” Garner Increased Stockholder Scrutiny In Delaware Sheppard, Mullin, Richter & Hampton LLP
Jun
23
2021
 House Passes Bill Requiring SEC to Define Mandatory ESG Metrics Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2021
 Security-Based Swap Rules for End-Users Sheppard, Mullin, Richter & Hampton LLP
Feb
17
2022
 SEC Proposed Amendments Could Significantly Impact DeFi Companies Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2010
 Registered Public Offerings Of Debt Securities And The Use Of Credit Ratings Information In SEC Filings After Dodd-Frank Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 - Impacts Compliance and Ethics Programs. Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2011
 Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2012
 The Entrepreneur Access to Capital Act and What It Could Mean for Startups Sheppard, Mullin, Richter & Hampton LLP
Nov
7
2022
 Federal Court Rules LBRY Offered Security and Rejects Arguments SEC Did Not Provide Fair Notice Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2017
 SEC Approves New Audit Reporting Standard Requiring Auditors to Disclose More Detailed Information Learned During the Audit Sheppard, Mullin, Richter & Hampton LLP
Nov
21
2017
 Second Circuit Affirms Class Certification Holding that Direct Evidence of Price Impact is Not Always Necessary to Demonstrate Market Efficiency Sheppard, Mullin, Richter & Hampton LLP
Jan
17
2013
 Reminder to Perform Annual ISO / ESPP Reporting in January 2013 Sheppard, Mullin, Richter & Hampton LLP
May
3
2013
 District Court Grants Motion to Compel Against Securities & Exchange Commission (SEC), Holding that "Facts" Are Not Work Product In SEC Confidential Witness Interviews 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
Jun
13
2013
 Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2013
 SEC Eliminates the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings Sheppard, Mullin, Richter & Hampton LLP
Jan
18
2019
 The Effects Of The SEC Shutdown On The Capital Markets Sheppard, Mullin, Richter & Hampton LLP
Jan
29
2019
 Class Size Doesn’t Matter—Seventh Circuit Holds That Federal Law Bars Private Securities Class Actions Brought Under State Law Regardless of the Number of Putative Class Members Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2019
 With the SEC, Cooperation is Key Sheppard, Mullin, Richter & Hampton LLP
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