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
Mar
25
2011
 SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2011
 California Court of Appeal Interprets "Controlling Person" Liability Under State and Federal Securities Laws Sheppard, Mullin, Richter & Hampton LLP
Mar
17
2017
 SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2011
 SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings Sheppard, Mullin, Richter & Hampton LLP
Dec
12
2011
 Delaware Supreme Court Clarifies Scope of Relief a Shareholder is Entitled For Inspection of Corporate Books And Records Pursuant To A Section 220 Demand Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2022
 NFT Insider Trading Charge Doesn’t Require the NFT To Be a Security Sheppard, Mullin, Richter & Hampton LLP
Nov
11
2022
 SEC Shifts Focus on Employees’ Off-Channel Business Communications to Investment Advisers Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2013
 U.S. Supreme Court Holds that Class Action Securities Fraud Plaintiffs Need Not Prove the Materiality of the Alleged False Statements or Omissions to Support Certification of a Class, Resolving Circuit Split Sheppard, Mullin, Richter & Hampton LLP
Apr
26
2018
 Ninth Circuit Splits From Other Circuits, Holding That a Negligence Standard Applies to a Claim Challenging Tender Offer Disclosures Under Section 14(e) Sheppard, Mullin, Richter & Hampton LLP
Jun
27
2018
 You Might Be an Inside Trader If…You Trade on Your Unconfirmed Suspicions of a Cybersecurity Event Prior to Its Public Revelation or Disclosure Sheppard, Mullin, Richter & Hampton LLP
Jun
12
2023
 FDIC, FRB & OCC Issue Final Guidance on Risk Management for Third-Party Relationships Sheppard, Mullin, Richter & Hampton LLP
Jul
10
2023
 Hsu Suggests Caution in Rollout of AI and Tokenization in Banking Sheppard, Mullin, Richter & Hampton LLP
Aug
22
2013
 Potential Challenges Associated With California's Revised Uniform Limited Liability Company Act Scheduled to Take Effect on January 1, 2014 Sheppard, Mullin, Richter & Hampton LLP
Jan
15
2019
 Regulation A May Prove Useful Alternative to Form S-4 Registration for Public Companies Doing Smaller M&A Deals Sheppard, Mullin, Richter & Hampton LLP
Mar
5
2019
 Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims Sheppard, Mullin, Richter & Hampton LLP
Sep
13
2023
 SEC Enforcements Against NFTs – Are You Next? Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2013
 Third Circuit Joins With the Seventh, Ninth and Eleventh Circuits in Holding That Plaintiffs Asserting 1933 Act Claims Need Not Plead Compliance With the Statute of Limitations, Splitting With the First, Eighth and Tenth Circuits Sheppard, Mullin, Richter & Hampton LLP
Oct
31
2013
 Crowdfunding Moves Forward: The Securities and Exchange Commission (SEC) Issues Proposed Rules on Crowdfunding Sheppard, Mullin, Richter & Hampton LLP
Nov
11
2019
 Delaware Update: Court of Chancery Declines to Bind a Non-signatory Parent Corporation to Forum Selection Clause 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
May
14
2024
 The Corporate Transparency Act: A Reporting Guide for Medical Groups and MSOs 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
Jun
27
2016
 Securities and Exchanges Commission Prevails in Regulation A+ Litigation Sheppard, Mullin, Richter & Hampton LLP
Jul
29
2010
 The Regulatory March to Reform Executive Compensation Practices Takes Another Step Forward Sheppard, Mullin, Richter & Hampton LLP
Oct
10
2010
 Second Circuit Holds That No Private Right Of Action Exists Under Section 304 Of The Sarbanes-Oxley Act Sheppard, Mullin, Richter & Hampton LLP
Nov
1
2010
 New York's High Court Rejects Attempts to Expand Liability of Outside Professional Service Providers for Failing to Detect Corporate Fraud Sheppard, Mullin, Richter & Hampton LLP
Nov
22
2010
 SEC Enforcement Action Under Regulation FD For Implicit Communications To Selected Analysts Sheppard, Mullin, Richter & Hampton LLP
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