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
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
Apr
14
2022
 Tokenization and the Law: Legal Issues with NFTs Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2016
 SEC Steps Up Cybersecurity Enforcement with $1 Million Fine Against Morgan Stanley Sheppard, Mullin, Richter & Hampton LLP
Aug
28
2010
 SEC Adopts Mandatory Proxy Access Rule for Shareholder Director Nominations -- Applicable for 2011 Proxy Season Sheppard, Mullin, Richter & Hampton LLP
Jan
29
2011
 California Court Of Appeal Holds That Privity Of Contract Is Necessary To Maintain An Action For Rescission Under California Corporations Code Sections 25504 And 25504.1 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
Jun
7
2022
 May 2022 Crypto Enforcement Actions and Regulatory Guidance Roundup Sheppard, Mullin, Richter & Hampton LLP
Jan
7
2012
 SEC Toughens Listing Requirements for Reverse Merger Companies 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
Dec
13
2017
 When Does Software Become Securities? Sheppard, Mullin, Richter & Hampton LLP
Feb
18
2013
 Between Mortar and Pestle: Securities and Exchange Commission (SEC) Pressure Grinds Auditors Against People's Republic of China (PRC) State Interests Sheppard, Mullin, Richter & Hampton LLP
Mar
13
2013
 Second Circuit Rules That Putative Auction Rate Securities Class Action Complaints Failed to Adequately Plead Antitrust Conspiracy Sheppard, Mullin, Richter & Hampton LLP
Apr
16
2023
 SEC’s Proposed Conflicts of Interest Rule May Impede Hedging Sheppard, Mullin, Richter & Hampton LLP
Aug
24
2018
 Court Rules Cryptocurrencies Can Be Regulated By The CFTC As Commodities Sheppard, Mullin, Richter & Hampton LLP
Jun
25
2013
 Affiliating with a Broker-Dealer Sheppard, Mullin, Richter & Hampton LLP
Jul
29
2013
 China Securities Regulatory Commission (CSRC) Became Sole Regulator of Private Equity (PE) Industry Sheppard, Mullin, Richter & Hampton LLP
Aug
10
2013
 Still Standing: U.S. Court Upholds SEC Conflicts Minerals Rule Sheppard, Mullin, Richter & Hampton LLP
Jul
20
2023
 FTC Reaches Settlement with Crypto Platform Sheppard, Mullin, Richter & Hampton LLP
Feb
1
2019
 Expansion of Regulation A to Reporting Companies: Increased Alternatives Now Available to Public Companies Seeking to Raise Capital or for Mergers and Acquisitions Sheppard, Mullin, Richter & Hampton LLP
Sep
5
2023
 Texas’ SCOPE Act Puts Focus on Social Media and Minors Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2014
 U.S. Securities & Exchange Commision (SEC) Brings Charges Against SEC Registered Investment Adviser for Improperly Allocating Expenses and Other Violations of the Investment Advisers Act of 1940 Sheppard, Mullin, Richter & Hampton LLP
Sep
4
2014
 Second Circuit Defines “Customer” for Mandatory FINRA Arbitration Sheppard, Mullin, Richter & Hampton LLP
May
14
2020
 SEC Co-Director of Enforcement Outlines Division’s Response to COVID-19 Sheppard, Mullin, Richter & Hampton LLP
Jun
9
2020
 DOJ Updates Corporate Compliance Guidance Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2014
 Staying Above The Political Fray – The RIA (Registered Investment Adviser) Political Contribution Rule Sheppard, Mullin, Richter & Hampton LLP
Jun
29
2020
 DC Circuit Repudiates SEC Program for Testing Exchange Fee Structures Sheppard, Mullin, Richter & Hampton LLP
Jan
16
2015
 SEC Releases 2015 Examination Priorities --Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Jan
27
2015
 SEC Co-Chief of Division of Enforcement’s Asset Management Unit Identifies 2015 Exam Priorities for Hedge and Private Equity Funds Sheppard, Mullin, Richter & Hampton LLP
Sep
29
2020
 Despite Challenges, It’s Full Steam Ahead For SEC’s Enforcement Division Sheppard, Mullin, Richter & Hampton LLP
Mar
18
2021
 SEC Commissioner Calls for a Brave New Approach to Corporate Penalties Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2021
 Delaware Supreme Court Adopts New Three-Prong Test for Demand Futility Sheppard, Mullin, Richter & Hampton LLP
Nov
20
2015
 SEC Fines Advisers for Allocating Compliance Expenses to Funds Sheppard, Mullin, Richter & Hampton LLP
Apr
6
2022
 California Court of Appeal Addresses Derivative Standing and Failure of Oversight Claims Under Delaware Law Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2016
 U.S. Targets Private Equity Funds for FCPA Scrutiny Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2016
 SEC Proposes Amendments to Update and Simplify Disclosure Requirements as Part of Overall Disclosure Effectiveness Review Sheppard, Mullin, Richter & Hampton LLP
Jun
14
2010
 Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense Sheppard, Mullin, Richter & Hampton LLP
Jul
21
2010
 President Obama Signs Dodd-Frank Act Into Law Sheppard, Mullin, Richter & Hampton LLP
Dec
31
2010
 SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010 Sheppard, Mullin, Richter & Hampton LLP
Jan
24
2012
 Spotlight on Pay For Performance Intensifies as ISS Releases New Evaluation Methodology for 2012 Proxy Season 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
Oct
27
2022
 SEC Adopts New Executive Compensation Clawback and Disclosure Rule Sheppard, Mullin, Richter & Hampton LLP
Jan
3
2018
 Delaware Supreme Court Imposes New Limits on Stockholder Ratification Defense In Connection With Equity Incentive Plans Sheppard, Mullin, Richter & Hampton LLP
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