February 19, 2017

Securities, SEC, & Financial Institution Law News

The National Law Review features the latest news and legal developments affecting all participants in the financial services industry. We cover news on debt finance, U.S. futures exchanges, broker-dealers, insolvency and restructuring, financial services technology (“FinTech”), and investment management, as well as regulatory rules issued by the Commodities and Futures Exchange Commission (“CFTC”), the Federal Reserve, and Financial Industry Regulatory Authority, Inc. (“FINRA”). Analysis includes compliance under finance laws including the Dodd Frank Wall Street Reform and Consumer Protection Act, the Federal Reserve Act, Gramm-Leach-Bliley Act, Fair Credit Reporting Act, Equal Credit Opportunity Act and more.

Along with Financial Services, National Law Review also has comprehensive coverage involving securities regulation and enforcement actions by the Securities and Exchange Commission (“SEC”).  We feature regular articles on the SEC, and how to best respond to enforcement actions and reporting requirements and how to comply with new regulations and changes in securities law and litigation.  Additionally, the National Law Review has comprehensive coverage of whistleblower regulations and news about whistleblower awards.

Date Title Organization
19
Feb
ESMA Publishes Revised Draft ITS on MiFID II Position Reporting Katten Muchin Rosenman LLP
18
Feb
HM Treasury Publishes Response to the Transposition of MiFID II Consultation Katten Muchin Rosenman LLP
17
Feb
U.S. Court of Appeals for D.C. Circuit Vacates Panel Decision in PHH v. CFPB, Grants Rehearing En Banc Greenberg Traurig, LLP
17
Feb
TCH Report on Redesign of the AML/CFT Regulatory Framework Covington & Burling LLP
17
Feb
New York DFS Finalizes ‘First-in-the-Nation’ Cybersecurity Regulations for Financial Services Industry Morgan, Lewis & Bockius LLP
17
Feb
Can the CFPB Director Be Removed at Will? DC Circuit Orders Rehearing En Banc Morgan, Lewis & Bockius LLP
17
Feb
DOL Fiduciary Rule – What’s Next? K&L Gates
17
Feb
Upcoming/New CFIUS Filing: SoftBank Group Corp. and Fortress Investment Group Squire Patton Boggs (US) LLP
17
Feb
FINRA Proposes Amendments to Rule Pertaining to Communications with the Public Katten Muchin Rosenman LLP
17
Feb
Financial Stability Board Issues Final Recommendations for Addressing Potential Risks Asset Managers Pose to the Global Financial System Vedder Price
17
Feb
SEC Approves Pricing Disclosures for Fixed Income Securities Katten Muchin Rosenman LLP
17
Feb
FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan Katten Muchin Rosenman LLP
17
Feb
OCIE Announces 2017 Exam Priorities Vedder Price
17
Feb
CFTC Provides Time-Limited Relief for Variation Margin and Minimum Transfer Amount Provisions Katten Muchin Rosenman LLP
17
Feb
SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of “Clean Shares” of Mutual Funds Vedder Price
17
Feb
Legislation to Expand Lending for NJ Vineyards and Wineries Stark & Stark
17
Feb
The LATEST: FTC “Second Requests” to be Narrower in Scope under Ohlhausen’s Leadership McDermott Will & Emery
17
Feb
NY Governor’s Proposed Budget Forecasts Increased Regulation of Fintech Greenberg Traurig, LLP
17
Feb
British Columbia Franchise Laws Come Into Effect Dickinson Wright PLLC
17
Feb
Indian Nations Law Update - February 2017: Ninth Circuit Rejects Tribal Online Lenders’ “Co-Regulator” Argument Godfrey & Kahn S.C.

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