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Securities
Securities Law360 provides breaking news and analysis on securities law and corporate governance. Coverage includes high-stakes shareholder litigation, government enforcement actions, and related policy developments.
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Latest News in Securities
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March 26, 2026
Smith & Wesson Brass Beat Catholic Investors' Suit, For Now
A Nevada federal judge dismissed a shareholder derivative suit brought by groups of Catholic sisters against members of Smith & Wesson's board and senior managers over the firearm-maker's AR-15 rifles marketing, finding the plaintiffs hadn't shown it would have been futile to demand the board pursue such legal action.
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March 26, 2026
Southwest Can't Fly Past Workers' Retirement Plan Suit
Southwest Airlines Co. retirement plan beneficiaries pleaded sufficient facts to state claims for breach of fiduciary duty and for failure to monitor in alleging that the company and its executives failed to remove an underperforming fund that lagged its benchmark, a Texas federal judge ruled this week.
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March 26, 2026
Elon Musk Slams Twitter Stock Verdict Over Jury's $4.20 'Joke'
Elon Musk did not get a fair trial over claims he defrauded Twitter investors before acquiring the social media platform, the tech billionaire's lawyer told a California federal judge Thursday, saying the jury rolled a marijuana "joke" into the verdict form to mock Musk and the trial process.
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March 26, 2026
Fintech Firm Beats Investor Suit Over Noncompliance Risks
China-based online brokerage firm operator UP Fintech Holding Ltd. has escaped a proposed class action accusing it of misleading investors by concealing risks associated with its noncompliance with New Zealand and Chinese securities laws after a New York federal judge found the company's statements to be full and justified.
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March 26, 2026
FINRA Fines Broker-Dealer $600K For Off-Channel Violations
The Financial Industry Regulatory Authority has fined a San Francisco-based broker-dealer $600,000 for allegedly failing to supervise employees' use of unapproved messaging platforms, in a type of proceeding FINRA's CEO said earlier this week would indicate a "real breakdown" in oversight.
Areas of Coverage
- AGENCIES
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- U.S. Department of Justice
- Self-regulatory organizations
- State and international securities regulators
- POLICY & REGULATION
- Dodd-Frank Act
- Employee Retirement Income Security Act
- Investment Advisers Act
- Investment Company Act
- Private Securities Litigation Reform Act
- Foreign Corrupt Practices Act
- Sarbanes-Oxley Act
- Securities Act
- Securities Exchange Act
- Securities Investor Protection Act
- International banking legislation and regulation
- ENFORCEMENT
- Fraud investigations
- Insider trading charges
- LITIGATION
- Accounting and securities fraud suits
- Shareholder class actions, including derivative suits
- Suits over mortgage-backed securities, credit-default swaps, and other high-risk assets
- Proxy battles and hostile takeover suits
- Securities disputes in bankruptcy cases
- ERISA suits
- PROFILES
- Personnel moves
- Profiles of securities practices
Readership
- Securities and white collar lawyers at top law firms
- Corporate counsel and compliance officers at Fortune 1000 companies
- Information experts at law firms, agencies, and companies
- Policymakers at federal and state agencies
- Judges and court staff across the U.S.
- Professors, students, and library staff at every accredited law school in the U.S.
- Attorney and law firm marketing professionals