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
Jul
13
2011
 New Internal Revenue Code Section 162(m) Proposed Regulations Take Surprising Position on Restricted Stock Unit Grants Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2011
 Second Circuit Addresses Materiality at the Pleadings Stage in Two Recent Decisions Sheppard, Mullin, Richter & Hampton LLP
Sep
25
2011
 U.S. Department of Labor to Reconsider Proposed Regulation Impacting ESOP Appraisers Sheppard, Mullin, Richter & Hampton LLP
Dec
3
2011
 Using the Internet to Your Company's Advantage in Defending Against A Whistleblower Action Sheppard, Mullin, Richter & Hampton LLP
Jan
12
2012
 Update on New Reporting Rules for Stock Splits, Recapitalizations, Mergers and Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2022
 Crypto Interest-Bearing Accounts, the Next Target? Sheppard, Mullin, Richter & Hampton LLP
Nov
30
2017
 The Numbers Don’t Lie: The SEC Pursues a More Streamlined Enforcement Agenda Sheppard, Mullin, Richter & Hampton LLP
Oct
18
2022
 NYAG Delivers on Promise to Rein In Unregistered Crypto Lending with New Suit Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2018
 Regulation Best Interest: The SEC’s Responds To The DOL’s Fiduciary Rule Sheppard, Mullin, Richter & Hampton LLP
Nov
28
2018
 SEC Enforcement’s Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, and Individual Accountability Sheppard, Mullin, Richter & Hampton LLP
Jan
14
2019
 Delaware Court of Chancery Declares Ineffective Exclusive Federal Forum Provision for 1933 Act Claims Sheppard, Mullin, Richter & Hampton LLP
Feb
5
2019
 SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2013
 Tenth Circuit Finds that Jury Must Determine Whether “Notes Are Securities” in a Securities Fraud Action Sheppard, Mullin, Richter & Hampton LLP
Nov
7
2013
 California Court of Appeal Holds That Challenges to Corporate Elections Under Corporations Code Section 709 May Be Predicated Upon Breach of Fiduciary Duty and Conflict of Interest Allegations Sheppard, Mullin, Richter & Hampton LLP
Apr
16
2019
 New Effort to Exempt Crypto Currency from Certain SEC, Tax and Other Regulatory Burdens Sheppard, Mullin, Richter & Hampton LLP
May
18
2012
 Plan Sponsors and Plan Fiduciaries - July 1, 2012 Compliance Deadline Poyner Spruill LLP
Aug
15
2009
 What is a Security? Poyner Spruill LLP
May
28
2012
 Recent Case Emphasizes Importance of Fiduciary Decision-Making Process Poyner Spruill LLP
Nov
3
2010
 Time to Add a Roth Feature to Your 401(k) Plan? Poyner Spruill LLP
Aug
28
2014
 North Carolina General Assembly Fails to Jump Start Our Businesses with Crowdfunding Legislation Poyner Spruill LLP
May
31
2013
 Privacy Regulators Take to the Web in Search of Deficient Privacy Policies Poyner Spruill LLP
Sep
26
2013
 SEC Adopts Rule Disqualifying Bad Actors from Participation in Rule 506 Offerings Poyner Spruill LLP
Sep
2
2009
 New IRS Revenue Rulings: Amount and Character of Income on Life Insurance Contracts Stroock & Stroock & Lavan LLP
Oct
5
2009
 Managing Sales by Distressed Private Equity Investors Stroock & Stroock & Lavan LLP
Aug
31
2009
 FINRA Issues New Guidance on Variable Life Settlement Transactions Morris Manning & Martin, LLP
Sep
14
2009
 NEW YORK TRIAL COURT DENIES INSURED’S CLAIM FOR ATTORNEYS FEES AND COSTS PAID IN CONNECTION WITH THE SETTLEMENT OF PUBLIC INVESTIGATIONS FOR “MARKET TIMING” OF MUTUAL FUNDS Clark Hill PLC
Sep
16
2009
 TRANSAMERICA LIFE FOUND TO INFRINGE “BUSINESS METHOD PATENT” ON VARIABLE ANNUITIES Clark Hill PLC
Sep
8
2010
 Top Legal Mistakes Entrepreneurs Make: 83(b) Tax Elections Michael Best & Friedrich LLP
Oct
28
2010
 How Much is That Startup in the Window. Really. Realistically Valuing a Start Up. Michael Best & Friedrich LLP
Nov
20
2010
 Angel Investing Principles: Doing Good While Doing Well Michael Best & Friedrich LLP
Jan
20
2011
 Reporting Deadline Approaches For 2010 ISO Exercises and ESPP Stock Transfers Michael Best & Friedrich LLP
Apr
14
2011
 Bouncing Around the Federal Securities Laws Michael Best & Friedrich LLP
Feb
8
2013
 Wisconsin Companies Cautioned About Notices for Corporate Annual Minute Reporting Michael Best & Friedrich LLP
Feb
25
2014
 Angels and Early Exits: Sometimes, a Bird in the Bush is Worth More than a Bird in the Hand Michael Best & Friedrich LLP
Jul
18
2012
 Wisconsin Department of Financial Institutions Issues Advisory on Crowdfunding Michael Best & Friedrich LLP
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