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.

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Jun
13
2023
 Ninth Circuit Enforces Delaware Forum Selection Clause to Affirm Dismissal of Derivative Claim for Alleged Violation of Section 14(a) of the Securities Exchange Act of 1934 Sheppard, Mullin, Richter & Hampton LLP
Mar
9
2017
 Ninth Circuit Expands Reach of Dodd-Frank Anti-Retaliation Protections Squire Patton Boggs (US) LLP
Feb
24
2016
 Ninth Circuit Finds No Reliance On Auditor’s Qualified Opinions Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
16
2017
 Ninth Circuit Holds Dodd-Frank Protects Internal Whistleblowing Zuckerman Law
May
20
2021
 Ninth Circuit Holds Loss Causation Required For California Securities Claim Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
28
2013
 Ninth Circuit Holds Private Company Rules Preempt California Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun
6
2013
 Ninth Circuit Holds Securities Exchange Act Section 10(b) Violations Sufficient For Employee Retirement Income Security Act (ERISA) Breach Of Duty Claims Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
14
2016
 Ninth Circuit Holds SOX 304 Clawback Applies to Executives Not at Fault Mintz
Sep
30
2013
 Ninth Circuit Holds that a Properly Structured Voluntary Rental Program Offering Does Not Convert Hotel Condominium Units into Securities Greenberg Traurig, LLP
May
13
2013
 Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firms Sheppard, Mullin, Richter & Hampton LLP
Jul
30
2010
 Ninth Circuit Holds That Safe Harbor Provision Of The Reform Act Applies To Forward-Looking Statements Accompanied By Cautionary Language And Forward-Looking Statements Made Without Actual Knowledge Of Falsity Sheppard, Mullin, Richter & Hampton LLP
Aug
19
2010
 Ninth Circuit Holds That Scienter May Be Established Through An Objective Evaluation Of A Defendant's Deliberate Recklessness Sheppard, Mullin, Richter & Hampton LLP
Dec
21
2022
 Ninth Circuit Holds that Social Media Communications Can Satisfy Statutory-Seller Requirement Under Securities Act Proskauer Rose LLP
Jan
4
2023
 Ninth Circuit Holds that Social Media Posts May Give Rise to “Seller” Liability Under Section 12(a)(2) of the Securities Act of 1933 Sheppard, Mullin, Richter & Hampton LLP
Aug
31
2016
 Ninth Circuit Holds That SOX Disgorgement of Incentive Compensation Does Not Depend on Executives’ Own Misconduct Proskauer Rose 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
Jan
6
2015
 Ninth Circuit Holds that Under Nevada Law, a Prior Stockholder’s Litigation of Demand Futility Precludes Another Stockholder From Litigating Demand Futility In a Subsequent Derivative Action Sheppard, Mullin, Richter & Hampton LLP
Aug
14
2018
 Ninth Circuit Holds Transactions in Unsponsored ADRs Can Be “Domestic” Under Morrison Mintz
Apr
25
2019
 Ninth Circuit Limits Protections for FCPA Whistleblowers Squire Patton Boggs (US) LLP
Sep
13
2016
 Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification, Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement Sheppard, Mullin, Richter & Hampton LLP
Nov
17
2023
 Ninth Circuit Provides Guidance on SEC Rule 16b-3 Short-Swing Profit Liability Exemption Sheppard, Mullin, Richter & Hampton LLP
Oct
27
2015
 Ninth Circuit Rejects Adverse-Interest Exception in Fraud-on-the Market Securities Class Actions Proskauer Rose LLP
Aug
31
2010
 Ninth Circuit Rejects Private Right Of Action To Enforce Section 13(a) Of The Investment Company Act Of 1940 Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2013
 Ninth Circuit Rejects Securities Fraud Suit for Failure to Demonstrate Loss Causation Katten
Aug
9
2013
 Ninth Circuit Remands “Say-on-Pay” Cases Back to State Court for Lack of Jurisdiction Katten
Dec
17
2014
 Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
20
2020
 Ninth Circuit Reverses SEC Disgorgement Award and Remands in First Decision Post-Liu Sheppard, Mullin, Richter & Hampton LLP
Sep
15
2012
 Ninth Circuit Reverses Securities Fraud Conviction Based on Admission of Prior Complaint Greenberg Traurig, LLP
Apr
11
2022
 Ninth Circuit Revives Fee Challenge to Salesforce.com 401(k) Plan Proskauer Rose LLP
Mar
8
2019
 Ninth Circuit Rules Alleged FCPA Violation Cannot Support SOX Claim Jackson Lewis P.C.
Aug
2
2013
 Ninth Circuit Says Say-On-Pay Suit Should Stay In California Court Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
24
2015
 Ninth Circuit Severely Limits “Rogue Employee” Exception for Corporations in Securities Fraud Cases 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
Aug
25
2020
 Ninth Circuit to Determine Whether Direct Listing Purchasers Have Standing Under Sections 11 and 12 of 1933 Act Mintz
Mar
9
2017
 Ninth Circuit — Dodd-Frank Protects Internal Whistleblowers Proskauer Rose LLP
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