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
13
2011
 A Rising Tide for Annual Say-on-Pay Votes Sheppard, Mullin, Richter & Hampton LLP
Jul
27
2017
 The SEC and ICOs: Putting the SEC’s Determination that DAO Tokens are Securities in Context 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
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
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
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
Mar
29
2019
 “Nanny” Government Rebuffed in Prosecution of Former Barclays Trader Sheppard, Mullin, Richter & Hampton LLP
Mar
22
2014
 Second Circuit Upholds SEC’s Authority to Obtain Disgorgement from Non-Trading Insider Profits Earned by Portfolio Fund from Insider Trading Sheppard, Mullin, Richter & Hampton LLP
Feb
3
2020
 California State Court Declines to Expand Standing for Claims Under 1933 Act Sheppard, Mullin, Richter & Hampton LLP
Mar
23
2020
 COVID-19 Directors’ Duties of Oversight: Reporting and Monitoring Sheppard, Mullin, Richter & Hampton LLP
Aug
20
2020
 Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu Sheppard, Mullin, Richter & Hampton LLP
Jan
26
2015
 Second Circuit Notes Split with Ninth Circuit Over Whether Failure to Make Adequate Disclosures Under Item 303 of Regulation S-K May Serve as Basis for a Section 10(b) Claim 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
Oct
17
2011
 Delaware Supreme Court Clarifies When a Series of Dispositions will not Trigger an "All or Substantially All" Indenture Covenant Sheppard, Mullin, Richter & Hampton LLP
Jan
6
2012
 New York High Court Holds That State Blue Sky Law Does Not Preempt Common Law Claims Involving Securities Sheppard, Mullin, Richter & Hampton LLP
Jun
15
2022
 SEC Investigating Lack of Insider Trading Policies for NFT/Crypto Exchanges Sheppard, Mullin, Richter & Hampton LLP
Sep
26
2017
 At Last! Relaxation of Federal Securities Regulations for Private Company Stock Incentive Awards may be on the Horizon Sheppard, Mullin, Richter & Hampton LLP
Dec
12
2017
 SEC Takes $15 Million Bite Out of an ICO Sheppard, Mullin, Richter & Hampton LLP
Jan
18
2013
 Changes in the Wind for Rule 10b5-1 Trading Plans? Sheppard, Mullin, Richter & Hampton LLP
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
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
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