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
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
Jan
28
2022
 CFPB Provides Guidance on How Consumers Can Obtain and Dispute Inaccuracies in Credit Reports Sheppard, Mullin, Richter & Hampton LLP
Mar
3
2022
 SEC Targets NFTs Sheppard, Mullin, Richter & Hampton LLP
Apr
4
2016
 Second Circuit Narrowly Applies Supreme Court’s Decision in Omnicare Sheppard, Mullin, Richter & Hampton LLP
Oct
21
2016
 Fantasy Stock Picking Contest Deemed by SEC to be Illegal Security-based Swaps Sheppard, Mullin, Richter & Hampton LLP
Oct
6
2010
 Ninth Circuit Adopts Moench Presumption in Favor of Fiduciaries Sheppard, Mullin, Richter & Hampton LLP
Feb
6
2011
 Tenth Circuit Affirms High Standard For Scienter Pleading In Securities Fraud Cases Against Independent Auditors Sheppard, Mullin, Richter & Hampton LLP
Feb
21
2011
 Delaware Chancery Court Provides Further Clarification as to When the "Entire Fairness" Standard of Review is Appropriate and How It Will Be Applied Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2011
 SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011 Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2011
 California Court of Appeal Interprets "Controlling Person" Liability Under State and Federal Securities Laws Sheppard, Mullin, Richter & Hampton LLP
Mar
17
2017
 SEC Adopts Rule Requiring Hyperlinks to Exhibits and HTML Formatting Sheppard, Mullin, Richter & Hampton LLP
Jun
16
2022
 NFT Insider Trading Compliance Policies – What They Cover and Why You Need One Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2011
 SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings Sheppard, Mullin, Richter & Hampton LLP
Dec
12
2011
 Delaware Supreme Court Clarifies Scope of Relief a Shareholder is Entitled For Inspection of Corporate Books And Records Pursuant To A Section 220 Demand Sheppard, Mullin, Richter & Hampton LLP
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
Jul
11
2013
 Securities and Exchange Commission (SEC) Adopts Rules to Remove Ban on General Solicitation for Rule 506 Offerings Sheppard, Mullin, Richter & Hampton LLP
Jul
20
2023
 FTC Reaches Settlement with Crypto Platform Sheppard, Mullin, Richter & Hampton LLP
Dec
19
2018
 Loan Syndication and EU Competition Law Sheppard, Mullin, Richter & Hampton LLP
Feb
6
2019
 Court Finds Cybersecurity-Related Claims Sufficient in Securities Class Action Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 ICSID 2018 Caseload Reflects Continued Uptick of Investor-State Arbitrations Sheppard, Mullin, Richter & Hampton LLP
Sep
5
2023
 Texas’ SCOPE Act Puts Focus on Social Media and Minors Sheppard, Mullin, Richter & Hampton LLP
Apr
1
2019
 United States Supreme Court Holds That Knowing Dissemination of False Statements Made by Others Can Constitute Primary “Scheme Liability” In Violation of Rule 10b-5(a) and (c) Sheppard, Mullin, Richter & Hampton LLP
Nov
9
2013
 Setting The Record Straight On The New General Solicitation Rules Sheppard, Mullin, Richter & Hampton LLP
Apr
29
2019
 SEC Issues Risk Alert on Customer Privacy Safeguards Sheppard, Mullin, Richter & Hampton LLP
Dec
18
2013
 Considerations for 2014 Proxy Season and Beyond Sheppard, Mullin, Richter & Hampton LLP
Apr
15
2014
 D.C. Appellate Court Issues Opinion on SEC’s Conflict Minerals Rule - Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
Jul
7
2014
 Second Circuit Overturns District Court’s Rejection of SEC-Citigroup Fraud Settlement Sheppard, Mullin, Richter & Hampton LLP
Aug
15
2014
 Securities Fraud: Cherry-Picking & Soft Dollars Sheppard, Mullin, Richter & Hampton LLP
Apr
18
2020
 Primary And Secondary Market Corporate Credit Facilities Sheppard, Mullin, Richter & Hampton LLP
Oct
9
2014
 Beyond the Checklist: Seven Keys to Effective Trade Due Diligence Sheppard, Mullin, Richter & Hampton LLP
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