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
Jan
6
2015
 Delaware Supreme Court Confirms Chancery Court’s Broad Authority to Impose Use Restrictions on Information Obtained From Section 220 Books and Records Inspections Sheppard, Mullin, Richter & Hampton LLP
Mar
19
2020
 Delaware Supreme Court Confirms That Federal Forum Provision Is Facially Valid, Reversing Court of Chancery Sheppard, Mullin, Richter & Hampton LLP
Mar
18
2014
 Delaware Supreme Court Confirms the Path to Business Judgment Review in Controlling Stockholder Transactions Bracewell LLP
May
15
2014
 Delaware Supreme Court Finds Fee-Shifting Bylaw Permissible Hunton Andrews Kurth
Aug
18
2014
 Delaware Supreme Court Finds Fee-Shifting Provisions in Bylaws to Be Facially Valid Vedder Price
May
29
2020
 Delaware Supreme Court Holds Federal Forum Provisions Valid Barnes & Thornburg 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
Dec
30
2014
 Delaware Supreme Court Holds That Court of Chancery Can Restrict Forum Where Books and Records Can Be Used Mintz
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
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
6
2015
 Delaware Supreme Court Holds Tooley Direct vs. Derivative Rule Is No Bar to Parent Corporation’s Contract Claim Proskauer Rose 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
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
Mar
30
2020
 Delaware Supreme Court Rejects Challenge to Federal Forum Provisions Requiring Securities Act Claims to Be Brought in Federal Court Cadwalader, Wickersham & Taft LLP
Oct
25
2010
 Delaware Supreme Court Requires Credible Evidence of a "Proper Purpose" to Review a Corporation's Books and Records 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
Oct
9
2015
 Delaware Supreme Court rules that friendship and business relationships together are enough to challenge director’s independence Dinsmore & Shohl LLP
Jul
13
2020
 Delaware Supreme Court Upholds Exclusive Federal Forum Selection Provisions Polsinelli PC
Mar
23
2020
 Delaware Supreme Court Upholds Federal Forum Provision for Securities Act Claims Epstein Becker & Green, P.C.
Mar
24
2020
 Delaware Supreme Court Upholds Federal Forum Provisions in Corporate Charters for Section 11 Claims as “Intra-Corporate Affairs” Vedder Price
Mar
30
2020
 Delaware Supreme Court Upholds Federal Forum Selection Provisions Requiring Securities Claims Be Brought in Federal Court Faegre Drinker
Apr
27
2013
 Delaware Supreme Court Upholds Federalism, Comity & Finality Allen Matkins Leck Gamble Mallory & Natsis LLP
May
16
2014
 Delaware Supreme Court Upholds Fee-Shifting Bylaw Katten
Jan
3
2016
 Delaware Supreme Court Upholds Rural Metro Decision, but Financial Advisors Can Breathe a Sigh of Relief Cadwalader, Wickersham & Taft LLP
May
20
2020
 Delaware Supreme Court Upholds Validity of Exclusive Federal Forum Provisions Faegre Drinker
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
Mar
17
2014
 Delaware Upholds Business Judgment Review for Controlling Stockholder Mergers If Minority Is Protected Mintz
Apr
19
2023
 Delaware's Definition Of "Officer" Fails To Define "Officer Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
24
2023
 Delaware’s Governor Signed the Delaware Personal Data Privacy Act Jackson Lewis P.C.
Jul
27
2019
 Delay of Final Implementation of Swap Initial Margin Rules Katten
Dec
27
2022
 Delusional Improvement: SEC Proposes Governance Rules for Clearing Agencies Norris McLaughlin P.A.
Aug
17
2010
 Demand for Oil Companies To Prove Disaster Preparedness Risk and Insurance Management Society, Inc. (RIMS)
May
16
2024
 Democratic Lawmakers Urge SEC Action on Greenwashing Mintz
Jan
26
2024
 Democratic Senators Criticize Proposed SEC Disclosure Rule for Scope 3 Greenhouse Gas Emissions Mintz
Jun
8
2015
 Democrats Push New Regulatory Relief Measure, CFTC and EU Regulators Work to Agree on Clearinghouse Rules Squire Patton Boggs (US) LLP
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