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
Dec
3
2020
 CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021 Sheppard, Mullin, Richter & Hampton LLP
May
26
2015
 Delaware Chancery Court Holds that Creditor Plaintiffs in Derivative Suits May Satisfy Standing Requirement by Showing Corporation’s Insolvency at Time of Suit, Regardless of Later Solvency Sheppard, Mullin, Richter & Hampton LLP
Aug
20
2021
 SEC Approves Nasdaq Diversity Rule Sheppard, Mullin, Richter & Hampton LLP
Oct
13
2015
 SEC Charges Investment Adviser for Failure to Disclose Acceleration of Monitoring Fees and Discounts on Legal Fees Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2015
 SEC Issues a Risk Alert on the Current State of Outside Compliance Consultants Sheppard, Mullin, Richter & Hampton LLP
Nov
24
2015
 Forward to The Past: NYSE Returns to Regulation Sheppard, Mullin, Richter & Hampton LLP
Jan
28
2022
 Recent SEC Proposed Rulemaking Could Impact Blockchain Trading Platforms Sheppard, Mullin, Richter & Hampton LLP
Feb
24
2022
 SEC Proposes Amendments to Schedule 13 Beneficial Ownership Reporting Requirements Sheppard, Mullin, Richter & Hampton LLP
Sep
13
2016
 Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification, Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement Sheppard, Mullin, Richter & Hampton LLP
Jul
30
2010
 Ninth Circuit Holds That Safe Harbor Provision Of The Reform Act Applies To Forward-Looking Statements Accompanied By Cautionary Language And Forward-Looking Statements Made Without Actual Knowledge Of Falsity Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2010
 Amendments To Sentencing Guidelines To Become Effective November 1, 2010 Sheppard, Mullin, Richter & Hampton LLP
Nov
2
2010
 District Court Holds No D&O Insurance Coverage for Attorneys' Fees and Costs Incurred in Voluntary Response to SEC Investigation Sheppard, Mullin, Richter & Hampton LLP
Jan
23
2011
 Companies Should Not Take Lightly the Need for Full Compliance with the SEC's Executive Compensation Disclosure Rules Sheppard, Mullin, Richter & Hampton LLP
Mar
29
2011
 United States Supreme Court Reiterates Materiality Standard For Securities Fraud Claims Under Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2011
 Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
Jan
14
2012
 SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Aug
4
2022
 Second Circuit Limits Scope of SEC Whistleblower Incentives Sheppard, Mullin, Richter & Hampton LLP
Feb
3
2013
 Ninth Circuit Applies Securities Litigation Uniform Standards Act to Affirm Dismissal of Section 17200 Class Action Involving Variable Life Insurance Policies Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2013
 Higher Filing Thresholds for Hart-Scott-Rodino Antitrust Improvements Act of 1976 Premerger Notifications Effective February 11, 2013 Sheppard, Mullin, Richter & Hampton LLP
Apr
17
2018
 Second Circuit Limits Reach of SLUSA Preclusion in State Law Variable Annuity Class Action Sheppard, Mullin, Richter & Hampton LLP
Mar
27
2013
 Second Circuit Reverses Class Certification Order, Holding That a Clearing Broker's Alleged Knowledge of Fraud Against Shareholders, Absence Direct Involvement, Is Insufficient to Create a Duty of Disclosure Sheppard, Mullin, Richter & Hampton LLP
May
11
2013
 SEC to Return Escrowed EB-5 Investment Funds to Immigrant Investors of Intercontinental Regional Center Trust of Chicago Sheppard, Mullin, Richter & Hampton LLP
Jul
12
2018
 SEC Expands the Definition of “Smaller Reporting Company” Sheppard, Mullin, Richter & Hampton LLP
Jun
1
2013
 California State Senate Passes Measure Providing Partial Relief From Cutler Decision (re: Qualified Small Business Stock (QSBS)) Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2018
 SEC Issues $1 Million Identity Theft Rule Fine Sheppard, Mullin, Richter & Hampton LLP
Aug
9
2013
 Still Standing: U.S. Court Upholds Securities and Exchange Commission (SEC) Conflicts Minerals Rule Sheppard, Mullin, Richter & Hampton LLP
Sep
7
2013
 The Foreign Corrupt Practices Act (FCPA) in the News: Big Scoops, Real Fallout Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 Second Circuit Holds That Issuer’s Alleged Statements Concerning Its Regulatory Compliance Efforts Do Not Constitute Material Misstatements Sheppard, Mullin, Richter & Hampton LLP
Feb
4
2014
 Second Circuit Affirms Dismissal of Short-Swing Profit Claim Against Goldman Sachs Arising from Six-Month Call Options Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2024
 Crypto Platform Settles SEC and State Regulator Charges over Interest Bearing Feature on Customer Accounts Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2020
 Coronavirus and Guidance on SEC Disclosures Sheppard, Mullin, Richter & Hampton LLP
Nov
22
2014
 Cyber-Breach & NISPOM Conforming Change 2 – It’s What’s on the Inside That Counts (National Industrial Security Program Operating Manual) Sheppard, Mullin, Richter & Hampton LLP
Sep
14
2020
 COVID-19 Enforcement Trends: March - August 2020 Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2020
 SEC Adopts Rule Amendments Aimed at Expanding Access to Capital Sheppard, Mullin, Richter & Hampton LLP
May
26
2015
 Second Circuit Narrows Scope of SLUSA Preclusion - Securities Litigation Uniform Standards Act Sheppard, Mullin, Richter & Hampton LLP
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