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
Sep
26
2017
 At Last! Relaxation of Federal Securities Regulations for Private Company Stock Incentive Awards may be on the Horizon Sheppard, Mullin, Richter & Hampton LLP
Dec
12
2017
 SEC Takes $15 Million Bite Out of an ICO Sheppard, Mullin, Richter & Hampton LLP
Jan
18
2013
 Changes in the Wind for Rule 10b5-1 Trading Plans? Sheppard, Mullin, Richter & Hampton LLP
Mar
10
2013
 U.S. Supreme Court Declines to Apply the "Discovery Rule" to Extend the Five-Year Statute of Limitations for SEC Punitive Fraud Enforcement Actions Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2018
 New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2013
 SEC Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings – Will Significantly Affect Permissible EB-5 Marketing Practices Sheppard, Mullin, Richter & Hampton LLP
Aug
2
2013
 Rules Eliminating the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings Become Effective September 23, 2013 Sheppard, Mullin, Richter & Hampton LLP
Aug
28
2013
 Eighth Circuit Applies Negligence Standard to Securities and Exchange Commission (SEC) Enforcement Claims for Violations of Section 14(a) and Rules 14a-9, 13b2-1 and 13b2-2 Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2013
 Shanghai Pilot Free Trade Zone (PFTZ) Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2014
 California Court of Appeal Clarifies Rights of Dissenting Minority Shareholders Under California Corporation Code § 1312(b) Sheppard, Mullin, Richter & Hampton LLP
Aug
20
2019
 Fifth Circuit Affirms Enron Broker Not Liable to Employee Stock Option Holders for False or Withheld Information Sheppard, Mullin, Richter & Hampton LLP
May
10
2014
 Second Circuit Applies Morrison v. National Australia Bank to Allow Certain Extraterritorial Application of RICO Sheppard, Mullin, Richter & Hampton LLP
May
15
2014
 China Securities Regulatory Commission (CSRC) Issued New Drafts of Administrative Measures on Acquisition of Unlisted Public Companies for Public Comment Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2024
 DOJ and SEC Officials Issue Harsh Warnings Concerning the Misuse of AI Sheppard, Mullin, Richter & Hampton LLP
Mar
19
2020
 SEC Amends Definitions of “Accelerated Filer” and “Large Accelerated Filer” and Provides Relief to Small Issuers from Auditor Attestation Requirements Sheppard, Mullin, Richter & Hampton LLP
May
27
2020
 SEC Adopts Comprehensive Changes to “Significance” Tests and Financial Disclosure Requirements of Acquired and Disposed Businesses Sheppard, Mullin, Richter & Hampton LLP
Nov
13
2014
 FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process Sheppard, Mullin, Richter & Hampton LLP
Jul
7
2020
 Interplay of Main Street Lending Program Documents: the Rights and Role of the Main Street Sheppard, Mullin, Richter & Hampton LLP
Jul
13
2020
 Some Strings Attached: Main Street Lending Program And Private Company M&A Sheppard, Mullin, Richter & Hampton LLP
Aug
16
2021
 SEC’s French Order is First Ever Substituted Compliance Determination in Connection with Capital and Margin Requirements Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2021
 SEC Publishes Sample Letter to Companies on Environmental Disclosures Sheppard, Mullin, Richter & Hampton LLP
Mar
24
2022
 SEC Proposes Rules Requiring Climate-Related Disclosures from Registered Public Companies Sheppard, Mullin, Richter & Hampton LLP
Jun
11
2010
 Delaware Chancery Court Dismisses Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
Jul
17
2010
 Senate Passes Dodd-Frank Wall Street Reform and Consumer Protection Act Sheppard, Mullin, Richter & Hampton LLP
Aug
27
2010
 D.C. Circuit Vacates Proposed Fee For NYSE Arca "Depth-Of-Book" Data And Remands To SEC For Further Review Sheppard, Mullin, Richter & Hampton LLP
Sep
20
2010
 Third Circuit Rejects the "Fraud-Created-The-Market" Theory of Reliance in a Section 10(B) Private Securities Fraud Action Sheppard, Mullin, Richter & Hampton LLP
Nov
30
2016
 Changes In Intrastate Crowdfunding SEC Rules: Will They Make A Difference? Sheppard, Mullin, Richter & Hampton LLP
Jan
28
2011
 Delaware Supreme Court Holds That Chancery Court Is Not Bound By Merger Price Or Fairness Opinion In Appraisal Proceedings Under Delaware General Corporate Law Section 262(h) Sheppard, Mullin, Richter & Hampton LLP
Jun
20
2011
 United States Supreme Court Holds that the "Maker" of a Statement for Rule 10b-5 Purposes is the Person or Entity with Ultimate Authority Over the Statement Sheppard, Mullin, Richter & Hampton LLP
Jul
8
2011
 Delaware Supreme Court Holds That Insider Trading Claims Alleging Misuse of Confidential Corporate Information Need Not Show Injury To the Corporation Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2011
 Second Circuit Holds That the Private Securities Litigation Reform Act of 1995 Bars All RICO Claims Based Upon Alleged Acts of Securities Fraud Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2011
 SEC Announces Slight Decrease in Fee Rates for Section 6(b), Section 13(e) and Section 14(g) in Fiscal Year 2012 Sheppard, Mullin, Richter & Hampton LLP
Jan
7
2012
 SEC Toughens Listing Requirements for Reverse Merger Companies Sheppard, Mullin, Richter & Hampton LLP
Dec
13
2017
 When Does Software Become Securities? Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2022
 Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud Sheppard, Mullin, Richter & Hampton LLP
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