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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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
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
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
Sep
8
2023
 Stock Exchange Deadline Approaches for Adopting SEC Compliant Clawback Policy 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
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
16
2023
 China Released Draft Rules Regulating and Promoting Cross-Border Data Transfer 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
Mar
7
2020
 Coronavirus and Considerations for Publicly Traded Companies Sheppard, Mullin, Richter & Hampton LLP
Sep
23
2014
 Compliance Officers’ Liability When Engaging and Remediating Problems at Investment Management Firms Sheppard, Mullin, Richter & Hampton LLP
Jan
29
2015
 SEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) Sheppard, Mullin, Richter & Hampton LLP
Feb
27
2015
 Second Circuit Holds That SIPA Does Not Permit an Inflation or Interest Adjustment to “Net Equity” Claims For Customer Property Sheppard, Mullin, Richter & Hampton LLP
May
19
2015
 Delaware Supreme Court Holds That a Stockholder Plaintiff Must Plead a Non-Exculpated Claim to Avoid Section 102(b)(7)-Based Dismissal When Seeking Damages From Independent and Disinterested Directors Sheppard, Mullin, Richter & Hampton LLP
Mar
8
2021
 SEC Going Cyber-Hunting for ESG-Related Misconduct 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
Jan
20
2011
 China's Supreme People's Court Issues Notice on Trial of Cases Involving Transfers of Nonperforming Assets to Foreign Investors Sheppard, Mullin, Richter & Hampton LLP
Feb
7
2011
 Delaware Supreme Court Reverses Chancery Court Dismissal Of Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
Feb
23
2011
 2010 Foreign Corrupt Practices Act "FCPA" Year In Review Sheppard, Mullin, Richter & Hampton LLP
Jun
7
2022
 May 2022 Crypto Enforcement Actions and Regulatory Guidance Roundup Sheppard, Mullin, Richter & Hampton LLP
Jun
12
2011
 California Court of Appeal Holds That State Courts Have Jurisdiction Over Securities Act Class Actions Unless the Action Is a "Covered Class Action" and Involves a "Covered Security" Under SLUSA Sheppard, Mullin, Richter & Hampton LLP
Jun
29
2022
 China Securities Regulatory Commission issued Proposed Provisions Related to Offshore Listing Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2022
 Payday Lender Ordered to Pay $39 Million in Misappropriated Funds Suit Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2011
 Tenth Circuit Holds that "Forced Sellers" Resulting From a Squeeze Out Merger Lack Standing to Assert Claims Under Sections 11 and 12(a)(2) the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Oct
1
2011
 SEC Fee Rate Adjustment for Section 6(B), Section 13(E) and Section 14(G) To Be Effective October 1, 2011 Sheppard, Mullin, Richter & Hampton LLP
Jan
23
2013
 Pfizer FCPA Settlement Emphasizes the Importance of Robust Compliance Programs for the Healthcare Industry Sheppard, Mullin, Richter & Hampton LLP
Apr
16
2023
 SEC’s Proposed Conflicts of Interest Rule May Impede Hedging Sheppard, Mullin, Richter & Hampton LLP
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