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
Dec
18
2013
 Considerations for 2014 Proxy Season and Beyond Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2014
 D.C. Appellate Court Issues Opinion on SEC’s Conflict Minerals Rule - Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Jul
7
2014
 Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement Sheppard, Mullin, Richter & Hampton LLP
Aug
15
2014
 Securities Fraud: Cherry-Picking & Soft Dollars Sheppard, Mullin, Richter & Hampton LLP
Apr
18
2020
 Primary And Secondary Market Corporate Credit Facilities Sheppard, Mullin, Richter & Hampton LLP
Oct
9
2014
 Beyond the Checklist: Seven Keys to Effective Trade Due Diligence Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2020
 D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates Sheppard, Mullin, Richter & Hampton LLP
Dec
29
2014
 Second Circuit Holds RMBS-issued (Residential Mortgage-backed Securities) Certificates Are Exempt from the Trust Indenture Act (TIA) Sheppard, Mullin, Richter & Hampton LLP
Feb
11
2015
 Second Circuit Clarifies that Allegations of Direct Fraudulent Representations Are Not Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2015
 United States Supreme Court Resolves Circuit Split Regarding Section 11 Claims Predicated Upon Allegedly Misleading Statements of Opinion Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2015
 Delaware Supreme Court Reinforces Importance of Clear and Precise Bylaw Provisions and Specifically Drafted Notices of Annual Meetings Sheppard, Mullin, Richter & Hampton LLP
Oct
1
2021
 Delaware Supreme Court Holds that Equity Dilution and Expropriation Claims May Only Be Brought Derivatively, Overruling Prior Precedent Sheppard, Mullin, Richter & Hampton LLP
Sep
13
2016
 Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification, Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement Sheppard, Mullin, Richter & Hampton LLP
Jul
30
2010
 Ninth Circuit Holds That Safe Harbor Provision Of The Reform Act Applies To Forward-Looking Statements Accompanied By Cautionary Language And Forward-Looking Statements Made Without Actual Knowledge Of Falsity Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2010
 District Court Holds No D&O Insurance Coverage for Attorneys' Fees and Costs Incurred in Voluntary Response to SEC Investigation Sheppard, Mullin, Richter & Hampton LLP
Jan
23
2011
 Companies Should Not Take Lightly the Need for Full Compliance with the SEC's Executive Compensation Disclosure Rules Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 United States Supreme Court Reiterates Materiality Standard For Securities Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2011
 Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
Jun
18
2022
 NFT Insider Trading – Can There Be A Crime If It’s Not A Security? Sheppard, Mullin, Richter & Hampton LLP
Jan
14
2012
 SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2022
 SEC Adopts New Executive Compensation Clawback and Disclosure Rule Sheppard, Mullin, Richter & Hampton LLP
Jan
4
2023
 Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2013
 Line in the Sand: Siemens Argentina Case Limits Personal Jurisdiction Under the "FCPA" Foreign Corrupt Practices Act Sheppard, Mullin, Richter & Hampton LLP
May
2
2023
 It’s Not Just the NLRB Watching You – NLRB Adds the Consumer Financial Protection Bureau to Its Ever Growing List of Interagency Collaborations Sheppard, Mullin, Richter & Hampton LLP
Jun
8
2023
 United States Supreme Court Holds That Section 11 Plaintiffs Must Purchase Securities Issued Under the Registration Statement They Seek to Challenge Sheppard, Mullin, Richter & Hampton LLP
Jul
5
2013
 Second Circuit Affirms Dismissal of Suits Brought by Madoff Trustee Against Banks Accused of Aiding Madoff Fraud Sheppard, Mullin, Richter & Hampton LLP
Aug
2
2023
 An Evolving High-Wire Act: Navigating Conflicting Laws, Regulations, and Guidance in the ESG Space Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2013
 Delaware Chancery Court Finds Merger "Entirely Fair" to Common Stockholders Despite the Merger Leaving Common Stockholders With No Consideration for Their Shares Sheppard, Mullin, Richter & Hampton LLP
Mar
27
2019
 SEC To Focus on Cybersecurity in 2019 Sheppard, Mullin, Richter & Hampton LLP
Apr
30
2019
 SEC Issues First No Action Letter on Crypto Tokens Sheppard, Mullin, Richter & Hampton LLP
Jun
5
2019
 Delaware Chancery Court Provides Useful Guidance for Protecting Pre-Merger Privileges in Post-Closing Litigation Between Buyers and Sellers Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2024
 For Limited Use Only: Guidance on National Security Delay Determinations under the SEC Cyber Reporting Rule Sheppard, Mullin, Richter & Hampton LLP
Mar
19
2024
 SEC Cracks Down on Over-Hyped AI Claims – Director Says This is Just the Beginning Sheppard, Mullin, Richter & Hampton LLP
Jun
20
2014
 Current Trends and Risks in the Private Equity Industry Sheppard, Mullin, Richter & Hampton LLP
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