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.

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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
4
2022
 Another Seven Year Wait is Over! SEC Finalizes Regulations on Clawback of Incentive Compensation for Restated Financial Statements 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
May
15
2023
 Hot Antitrust Enforcement Climate Reaches Private Equity 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
May
25
2023
 SEC Off-Channel Communications Sweep 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
Oct
4
2023
 Albermarle Agrees to Pay $218 Million to Settle Foreign Bribery Probe 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
Apr
22
2024
 Organizational Integrity Shorts: The Importance of Post-Investigation Activities 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
Jun
29
2015
 Changes in Margin Trading and Short Selling Regulations and the Potential Impact on Client Investment’s Through QFII A-Shares Sheppard, Mullin, Richter & Hampton LLP
Jul
30
2021
 New York Courts Continue to Enforce Broad General Releases, Even When Claims are Unforeseeable at the Time of Contract Execution Sheppard, Mullin, Richter & Hampton LLP
Nov
6
2015
 IRS Announces Inflation-Adjusted Amounts for 2016 Sheppard, Mullin, Richter & Hampton LLP
Dec
21
2015
 FAST Act Speeds-Up Raising Capital Sheppard, Mullin, Richter & Hampton LLP
Feb
14
2022
 Colorado AG Issues Guidance on Data Security Best Practices Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2022
 NYDFS Issues Cybersecurity Guidance in Response to Events in Ukraine Sheppard, Mullin, Richter & Hampton LLP
Mar
10
2016
 What is “Personal Benefit” for Insider Trading Tippee Liability? Sheppard, Mullin, Richter & Hampton LLP
Sep
17
2010
 Proxy Access Notice Dates For 2011 Proxy Season Established Sheppard, Mullin, Richter & Hampton LLP
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
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
Feb
8
2023
 Delaware Court of Chancery Holds that Officers of a Delaware Corporation Are Subject to Fiduciary Duty of Oversight 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
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