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.
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
Aug
22
2013
 Potential Challenges Associated With California's Revised Uniform Limited Liability Company Act Scheduled to Take Effect on January 1, 2014 Sheppard, Mullin, Richter & Hampton LLP
Jan
15
2019
 Regulation A May Prove Useful Alternative to Form S-4 Registration for Public Companies Doing Smaller M&A Deals Sheppard, Mullin, Richter & Hampton LLP
Mar
5
2019
 Ninth Circuit Holds That Statutes Do Not Constitute “Rules or Regulations of the SEC” for Purposes of Sarbanes-Oxley Act Whistleblower Claims Sheppard, Mullin, Richter & Hampton LLP
Oct
23
2013
 Third Circuit Joins With the Seventh, Ninth and Eleventh Circuits in Holding That Plaintiffs Asserting 1933 Act Claims Need Not Plead Compliance With the Statute of Limitations, Splitting With the First, Eighth and Tenth Circuits Sheppard, Mullin, Richter & Hampton LLP
Oct
31
2013
 Crowdfunding Moves Forward: The Securities and Exchange Commission (SEC) Issues Proposed Rules on Crowdfunding Sheppard, Mullin, Richter & Hampton LLP
Sep
14
2023
 What Do the CPPA’s Draft Regulations on Risk Assessments and Cybersecurity Audits Mean for Companies? Sheppard, Mullin, Richter & Hampton LLP
Nov
11
2019
 Delaware Update: Court of Chancery Declines to Bind a Non-signatory Parent Corporation to Forum Selection Clause Sheppard, Mullin, Richter & Hampton LLP
Jan
11
2024
 Treasury Announces Renewed Push for Investment Adviser AML Rules in Q1 2024 Sheppard, Mullin, Richter & Hampton LLP
Mar
7
2020
 Coronavirus and Considerations for Publicly Traded Companies Sheppard, Mullin, Richter & Hampton LLP
Apr
19
2024
 What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications Sheppard, Mullin, Richter & Hampton LLP
Sep
23
2014
 Compliance Officers’ Liability When Engaging and Remediating Problems at Investment Management Firms Sheppard, Mullin, Richter & Hampton LLP
Jan
29
2015
 SEC Staff To Express No Views On Conflicting Shareholder Proposals Under Rule 14a-8(i)(9) Sheppard, Mullin, Richter & Hampton LLP
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