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
Jun
5
2009
 Roundtable: Part II – Corporate Internal Investigations: Later Stages
Jun
6
2009
 Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Mar
3
2018
 Kushner’s Bad Week: Losing Clearance, Suspicious Business Activities, and the Looming Russia Investigation
Apr
10
2015
 Equity Firm Agrees to Pay $3 Million to NM State Investment Counsel for Moneys Tied to Pay For Play Scheme
Jun
2
2009
 What The “Subprime Crisis” Really Means For Your Business
Jun
5
2009
 Roundtable: Part I – Corporate Internal Investigations: Early Stages
Jun
29
2012
 What Plan Fiduciaries Should Do in Connection with the New Fee Disclosure Rules Effective July 1st Sills Cummis & Gross P.C.
May
2
2013
 Practical Discussion Of Issues And Effective Strategies For Internal Investigations Sills Cummis & Gross P.C.
May
21
2012
 Adapting To Market Conditions: Joint-Venture Considerations For The Institutional Real Estate Investor And Its Legal Counsel Sills Cummis & Gross P.C.
Dec
11
2018
 Start Raising Capital Or Wait For Additional Guidance? Sills Cummis & Gross P.C.
Mar
5
2010
 Roth IRAs: The Conversion Decision Much Shelist, P.C.
Feb
26
2011
 The Illinois Securities Law: The Remedy Is Rescission Much Shelist, P.C.
May
17
2010
 Finding Optimism in the Private Equity and Venture Capital Markets Much Shelist, P.C.
Feb
4
2012
 Buyers Beware: You May Be Assuming Superfund Liability in an Asset Deal Much Shelist, P.C.
May
21
2012
 Fill for the Funding Dip: EB-5 Visas Much Shelist, P.C.
Aug
9
2010
 Is Electing an Independent Board Member Right for Your Business? Exploring the Pros and Cons Much Shelist, P.C.
Feb
15
2011
 401(k) Fees: A Hot Topic for Plan Fiduciaries and Participants Much Shelist, P.C.
May
19
2009
 Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies Much Shelist, P.C.
Mar
18
2012
 Contractual Non-Reliance Clauses: Insulating Defendants from Civil Fraud Claims Since 1995 Much Shelist, P.C.
May
26
2009
 Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests Much Shelist, P.C.
Feb
4
2015
 Seventh Circuit: SEC Filing May Constitute Title VII Retaliation Much Shelist, P.C.
Jul
7
2009
 Recent Developments in Legal Ethics, January 2005 Fairfield and Woods P.C.
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
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
Sep
6
2022
 The Seven Year Wait is Over! SEC Finalizes New Pay Versus Performance Disclosure Regulations 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
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