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
Oct
12
2018
 Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation Cadwalader, Wickersham & Taft LLP
Feb
13
2023
 Defrauding D Orders: SEC Cracks Down on Manipulative Day Trader Norris McLaughlin P.A.
Jul
28
2022
 Déjà Vu All Over Again: SEC Reverses 2020 Proxy Rules Changes and Proposes Shareholder Proposal Rule Changes K&L Gates
Jun
26
2015
 Delaware Amends Its Corporate Law to Prohibit Fee-Shifting, Approve Exclusive Forum Provisions and Facilitate At-The-Market Offerings Katten
Aug
4
2014
 Delaware Amends its General Corporation Law, Limited Liability Company and Limited Partnership Acts Michael Best & Friedrich LLP
Apr
10
2013
 Delaware and California Courts Split as to Whether a Reverse Triangular Merger Results In an Assignment By Operation of Law, Creating Potential Pitfalls for Delaware and Other Foreign Corporations Located in California Sheppard, Mullin, Richter & Hampton LLP
Jun
10
2023
 Delaware Bankruptcy Court Approves DIP Financing of 700 Bitcoin Squire Patton Boggs (US) LLP
Jan
24
2014
 Delaware Bankruptcy Court Limits Ability of Purchaser of Secured Claim to Credit Bid Barnes & Thornburg LLP
Jul
6
2015
 Delaware Bans Corporate Fee-Shifting Bylaws and Authorizes Delaware-Only Forum Requirement for Intra-Corporate Litigation Mintz
Mar
27
2015
 Delaware Bar Proposes Amendments to Ban Fee-Shifting Provisions and Allow Delaware-Only Forum Selection Provisions in Corporate Charters and Bylaws Mintz
Mar
13
2015
 Delaware Chancery Court Addresses Proper Purpose for Inspection Demand Katten
Mar
10
2013
 Delaware Chancery Court Addresses Records Inspection Requests Standards Katten
Dec
19
2014
 Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors Katten
Jun
11
2010
 Delaware Chancery Court Dismisses Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
Aug
2
2018
 Delaware Chancery Court Finds Absence of Controlling Stockholder Does Not Eliminate Possibility for Adequately Pled Corporate Overpayment Claims Cadwalader, Wickersham & Taft LLP
Sep
6
2013
 Delaware Chancery Court Finds Merger "Entirely Fair" to Common Stockholders Despite the Merger Leaving Common Stockholders With No Consideration for Their Shares Sheppard, Mullin, Richter & Hampton LLP
Jan
17
2019
 Delaware Chancery Court Holds Corporations Cannot Enact Federal Forum Provisions To Bypass Cyan and Preclude State Courts from Hearing Securities Act Claims Mintz
May
14
2015
 Delaware Chancery Court Holds Director Equity Awards Issued Under a Stockholder-Approved Plan Subject to Review under the Entire Fairness Standard Hunton Andrews Kurth
Jun
27
2017
 Delaware Chancery Court Holds More than Red Flags Required to Allege Demand Futility in Derivative Suit K&L Gates
May
26
2015
 Delaware Chancery Court Holds that Creditor Plaintiffs in Derivative Suits May Satisfy Standing Requirement by Showing Corporation’s Insolvency at Time of Suit, Regardless of Later Solvency Sheppard, Mullin, Richter & Hampton LLP
Nov
22
2013
 Delaware Chancery Court Permits Shareholder to Bring Fiduciary Claim for Board’s Violation of a Stock Incentive Plan Katten
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
Jun
5
2019
 Delaware Chancery Court Provides Useful Guidance for Protecting Pre-Merger Privileges in Post-Closing Litigation Between Buyers and Sellers Sheppard, Mullin, Richter & Hampton LLP
Jun
9
2016
 Delaware Chancery Court Rejects Management Buyout Merger Price as Best Evidence of Fair Value in Appraisal Proceeding Sheppard, Mullin, Richter & Hampton LLP
Aug
10
2018
 Delaware Chancery Reiterates Directors’ Right to Access Corporation Information Katten
Oct
17
2014
 Delaware Chancery Rejects Books and Records Demand as Time-Barred Katten
Jun
11
2014
 Delaware Court Clarifies Director and Officer Liability in Mergers & Acquisitions (M&A) Transactions Bracewell LLP
Aug
31
2014
 Delaware Court Denies Attorneys’ Fees for Stockholders in Appraisal Proceedings Katten
Sep
19
2014
 Delaware Court Denies Dismissal for Disinterested Directors When Entire Fairness Applies Katten
Mar
9
2011
 Delaware Court Enjoins Merger Vote Citing Conflicts of Interest of Financial Advisor Sheppard, Mullin, Richter & Hampton LLP
Mar
26
2013
 Delaware Court of Chancery Addresses Director's Duties In Connection With Change of Control Put Provisions Bracewell LLP
Jun
20
2014
 Delaware Court of Chancery Applies Entire Fairness Standard to Going-Private Transaction with a Controlling Stockholder Negotiated by Special Committee and Approved by a Majority of the Minority Stockholders Katten
Feb
20
2014
 Delaware Court of Chancery Applies Implied Covenant of Good Faith and Fair Dealing to Prohibit An Acquiring Entity From Diverting Revenues to Depress Payouts Under a Contingent Purchase Price Provision Sheppard, Mullin, Richter & Hampton LLP
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
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