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
Jun
18
2022
 NFT Insider Trading – Can There Be A Crime If It’s Not A Security? Sheppard, Mullin, Richter & Hampton LLP
Dec
21
2017
 Congress Passes Final Tax Reform Bill 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
Jun
21
2018
 You Might Be an Inside Trader If: Insider Trading and Data Breaches Part II Sheppard, Mullin, Richter & Hampton LLP
Aug
20
2018
 “Airing Out the Denny Crane Room”: Recent SEC Action Emphasizes Need for Effective Disclosure Controls and Procedures for Executive Perquisites Sheppard, Mullin, Richter & Hampton LLP
Jun
18
2013
 Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Aug
28
2018
 Airdrop of Crypto Tokens Hits Regulatory Flak Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2013
 Still Banned: General Solicitation in Rule 506 Offerings Re: Securities 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
Jan
24
2019
 The Impact of the Government Shutdown on S.E.C. Enforcement 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
Oct
22
2013
 Second Circuit Clarifies Scope of Securities Litigation Uniform Standards Act of 1998 (SLUSA) Preclusion 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
Jan
28
2014
 Higher Filing Thresholds for HSR Act Premerger Notifications Effective February 24, 2014 (Hart-Scott-Rodino Antitrust Improvements Act of 1976) Sheppard, Mullin, Richter & Hampton LLP
May
12
2014
 Delaware Court of Chancery Underscores Heightened Pleading Standard Necessary to Support a Claim for Breach of Fiduciary Duty In Connection With a Merger Sheppard, Mullin, Richter & Hampton LLP
Mar
20
2020
 The SEC’s COVID-19 Response Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2020
 Issues Regarding SEC Proposal to Expand Private Offering Exemptions 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
May
13
2020
 Fifth Circuit Holds that Law Firm Cannot Claim Privilege Over Client Identity in IRS Probe Sheppard, Mullin, Richter & Hampton LLP
Apr
23
2024
 Supreme Court Holds “Pure Omissions” Are Not Actionable Under Rule 10b-5(b) Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2020
 Fed Provides Further Updates to Main Street Lending Program, Expanding Availability in Advance of Program Launch Sheppard, Mullin, Richter & Hampton LLP
Jun
25
2020
 Supreme Court Limits SEC’s Authority to Disgorge Ill-Gotten Gains in Civil Suits Sheppard, Mullin, Richter & Hampton LLP
Aug
25
2020
 Fifth Circuit Affirms Dismissal Section 14(a) Complaint For Failure to Plead Facts Demonstrating Alleged Omissions from Proxy Statement Were Misleading Sheppard, Mullin, Richter & Hampton LLP
Jun
1
2021
 Game On: FINRA Hints at Upcoming Gamification Sweep Sheppard, Mullin, Richter & Hampton LLP
Aug
3
2021
 Second Circuit Upholds Enforceability of SEC Tolling Agreements Sheppard, Mullin, Richter & Hampton LLP
Sep
7
2010
 Wall Street Reform Legislation Creates New Diversity Requirements for Government Contractors Sheppard, Mullin, Richter & Hampton LLP
Oct
5
2010
 SEC Stays New Proxy Access Rules Sheppard, Mullin, Richter & Hampton LLP
Nov
19
2010
 Fifth Circuit Rejects Section 10(B) Scheme Liability in Absence of Explicit Attribution of Conduct or Statements to Defendant Sheppard, Mullin, Richter & Hampton LLP
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
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