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
11
2014
 Tenth Circuit Looks Past “General Partnership” Labels in Agreements to Determine Whether Certain Investments Constitute “Securities” Sheppard, Mullin, Richter & Hampton LLP
Mar
10
2020
 SEC Proposal to Modernize Financial Disclosure Requirements in Regulation S-K Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2020
 Maybe the FTC Can’t Take That to the Bank: The Supreme Court’s Decision in Liu v. SEC and Its Implications for the FTC’s Ability to Seek Equitable Monetary Relief Sheppard, Mullin, Richter & Hampton LLP
Dec
19
2014
 Bringing the Individual Accredited Investor Into the 21st Century Sheppard, Mullin, Richter & Hampton LLP
Sep
9
2020
 Delaware Court of Chancery Clarifies that Management Cannot Unilaterally Curtail a Director’s Access to Corporation’s Privileged Information Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2020
 CFTC Throws its Hat into the Corporate Compliance Arena Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2015
 “Dead Hand Proxy Puts” Garner Increased Stockholder Scrutiny In Delaware Sheppard, Mullin, Richter & Hampton LLP
Jun
23
2021
 House Passes Bill Requiring SEC to Define Mandatory ESG Metrics Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2021
 Security-Based Swap Rules for End-Users Sheppard, Mullin, Richter & Hampton LLP
Feb
17
2022
 SEC Proposed Amendments Could Significantly Impact DeFi Companies Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2010
 Registered Public Offerings Of Debt Securities And The Use Of Credit Ratings Information In SEC Filings After Dodd-Frank Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 - Impacts Compliance and Ethics Programs. Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2011
 Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor 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
19
2012
 The Entrepreneur Access to Capital Act and What It Could Mean for Startups Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2022
 SEC Adopts New Executive Compensation Clawback and Disclosure Rule Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2017
 SEC Approves New Audit Reporting Standard Requiring Auditors to Disclose More Detailed Information Learned During the Audit Sheppard, Mullin, Richter & Hampton LLP
Nov
21
2017
 Second Circuit Affirms Class Certification Holding that Direct Evidence of Price Impact is Not Always Necessary to Demonstrate Market Efficiency 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
Jan
26
2013
 FINRA Adopts Rule 5123 Requiring the Filing of Offering Documents Used in Private Placements of Securities Sheppard, Mullin, Richter & Hampton LLP
Feb
10
2013
 Federal Trade Commission (FTC) Proposes Amendments To The Hart-Scott-Rodino Rules Regarding Withdrawal Of A Premerger Notification Filing Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2018
 SEC Takes Baby Steps on Cyber, but Signals Greater Vigilance Sheppard, Mullin, Richter & Hampton LLP
Mar
11
2013
 Second Circuit Reverses Dismissal of Securities Act Violation Claims, Holding that Plaintiff's Allegations Were Sufficient to Plead a Reasonable Inference of Misrepresentations in a Prospectus 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
May
13
2013
 Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firms 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
Aug
23
2018
 Is There a Unicorn Among ICO Issuers? Sheppard, Mullin, Richter & Hampton LLP
Sep
27
2018
 New York Federal Court’s View on Cryptocurrency as Securities Sheppard, Mullin, Richter & Hampton LLP
Nov
1
2018
 Our Music Festival - Empowering a Decentralized Fanbase with Blockchain 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
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
Mar
18
2020
 Impacts of Covid-19 on Closing M&A Transactions 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
Aug
20
2020
 Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu Sheppard, Mullin, Richter & Hampton LLP
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