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
23
2013
 Delaware Court of Chancery Appoints Receiver to Ensure Stockholders’ Meeting Katten
Sep
9
2020
 Delaware Court of Chancery Clarifies that Management Cannot Unilaterally Curtail a Director’s Access to Corporation’s Privileged Information Sheppard, Mullin, Richter & Hampton LLP
Jan
14
2019
 Delaware Court of Chancery Declares Ineffective Exclusive Federal Forum Provision for 1933 Act Claims Sheppard, Mullin, Richter & Hampton LLP
Feb
15
2017
 Delaware Court of Chancery Dismisses Derivative Action Against Board of Directors of UPS for Failure to Monitor K&L Gates
Aug
16
2014
 Delaware Court of Chancery Dismisses Derivative Suit Brought by Expired Trust Katten
Jun
21
2014
 Delaware Court of Chancery Finds Contract Rate Applies to Post-Judgment Interest Katten
Jul
20
2017
 Delaware Court of Chancery Holds Stockholder not Bound by Stock Transfer Restrictions not Noted on Stock Certificates K&L Gates
Feb
24
2021
 Delaware Court of Chancery Holds that a Contractual Delaware Choice of Law Provision Did Not Waive Plaintiff’s Claim Under the California Securities Act 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
Jun
7
2014
 Delaware Court of Chancery Invalidates Consent Due to Inadequate Disclosures Katten
Oct
27
2014
 Delaware Court of Chancery Rejects Contemporaneous Ownership Requirement For Creditors Asserting Derivative Claims Sheppard, Mullin, Richter & Hampton LLP
Oct
24
2014
 Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits Katten
Nov
7
2014
 Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted Transaction Katten
Feb
29
2016
 Delaware Court of Chancery to Increase Scrutiny of Disclosure Settlements Polsinelli PC
May
12
2014
 Delaware Court of Chancery Underscores Heightened Pleading Standard Necessary to Support a Claim for Breach of Fiduciary Duty In Connection With a Merger Sheppard, Mullin, Richter & Hampton LLP
Sep
9
2014
 Delaware Court of Chancery Upholds North Carolina Forum Selection Bylaw for Delaware Corporation Mintz
Jan
31
2014
 Delaware Court of Chancery Upholds the Facial Validity of Organic Exclusive Forum Provisions, But Future “As‐ Applied” Challenges Could be a Different Matter Greenberg Traurig, LLP
Sep
25
2015
 Delaware Court Of Chancery’s Not So Exclusive Jurisdiction Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
21
2015
 Delaware Court Poised To Decide Whether Directors Are Agents Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
24
2014
 Delaware Court Rules in Favor of Former LLC Member in LLC’s Competition Claim Katten
May
23
2014
 Delaware Court Rules Nevada Law Governs But Applies Delaware Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
10
2015
 Delaware Courts Scrutinize Recent Proposed Settlement Agreements – A Harbinger of Fewer M&A “Transaction Tax” Lawsuits? Hunton Andrews Kurth
Nov
20
2013
 Delaware Embraces General Solicitation Allen Matkins Leck Gamble Mallory & Natsis LLP
May
4
2013
 Delaware Federal Court Dismisses Securities Fraud Action Against Power Plant Executives Katten
Aug
3
2022
 Delaware Finally Catches Up To Nevada (Well, Not Quite) Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
28
2013
 Delaware General Corporation Law Amended to Speed Up the Consummation of Two-Step Merger Transactions Sheppard, Mullin, Richter & Hampton LLP
Apr
8
2020
 Delaware Governor Issues Order Clarifying Notice Requirements for Virtual-Only Shareholder Meetings due to COVID-19 Mintz
Mar
26
2014
 Delaware Law to Provide for Ratification of Defective Corporate Acts as of April 1, 2014 McDermott Will & Emery
Aug
9
2013
 Delaware Legislature Adopts Amendments to Delaware General Corporation Law Katten
Mar
23
2015
 Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions Katten
Oct
11
2021
 Delaware Supreme Court Adopts New Three-Prong Test for Demand Futility Sheppard, Mullin, Richter & Hampton LLP
Nov
3
2010
 Delaware Supreme Court Clarifies Law Regarding Standing of Plaintiff-Shareholders to Bring a Post-Merger Double Derivative Action 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
Oct
17
2011
 Delaware Supreme Court Clarifies When a Series of Dispositions will not Trigger an "All or Substantially All" Indenture Covenant Sheppard, Mullin, Richter & Hampton LLP
Dec
1
2015
 Delaware Supreme Court Clarifies When Friendship Could Compromise Director’s Independence Vedder Price
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