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
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
Jun
30
2020
 D.C. Circuit Rejects SEC’s Program Testing Exchange Fees and Rebates Sheppard, Mullin, Richter & Hampton LLP
Dec
29
2014
 Second Circuit Holds RMBS-issued (Residential Mortgage-backed Securities) Certificates Are Exempt from the Trust Indenture Act (TIA) Sheppard, Mullin, Richter & Hampton LLP
Feb
11
2015
 Second Circuit Clarifies that Allegations of Direct Fraudulent Representations Are Not Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5 Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2015
 United States Supreme Court Resolves Circuit Split Regarding Section 11 Claims Predicated Upon Allegedly Misleading Statements of Opinion Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2015
 Delaware Supreme Court Reinforces Importance of Clear and Precise Bylaw Provisions and Specifically Drafted Notices of Annual Meetings 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
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
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
May
31
2022
 Securities and Exchange Commission V. LBRY; Is Your Crypto Project Illegal? Sheppard, Mullin, Richter & Hampton LLP
Jul
22
2022
 Second Circuit Declines to Allow SEC Rule 10b-5 Claim for “Scheme Liability” to Proceed Where the Alleged Misconduct Amounted Only to the Making of Material Misstatements or Omissions 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
Jan
5
2023
 SEC Updates Non-GAAP Financial Measures Guidance Sheppard, Mullin, Richter & Hampton LLP
May
11
2013
 U.S. Citizenship and Immigration Services (USCIS) EB-5 Engagement with Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
May
21
2013
 Senator Leahy’s EB-5 Amendment Added to Comprehensive Immigration Reform Bill Sheppard, Mullin, Richter & Hampton LLP
Aug
22
2018
 SEC Approves Updated Disclosure Requirements 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
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
Jul
25
2023
 Regulatory Framework for Privately-Offered Investment Funds in China: Implications and Compliance Sheppard, Mullin, Richter & Hampton LLP
Mar
12
2019
 ICSID 2018 Caseload Reflects Continued Uptick of Investor-State Arbitrations 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
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