April 26, 2015

Securities, SEC, & Financial Institution Law News

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The National Law Review is a free resource of articles addressing legal issues related to the financial services and securities industries. Legal topics addressed include: financial regulatory, compliance, debt finance, broker-dealer, insolvency and restructuring, investment management and structured transactions. Details of actions by state and local governments, and by other governmental agencies as well as mediation and arbitration and civil actions from across the U.S. are added daily.

Date Title Organization
25
Apr
CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors Katten Muchin Rosenman LLP
24
Apr
CFTC Provides Guidance on Calculating Projected Operating Costs by SEFs Katten Muchin Rosenman LLP
24
Apr
SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting Katten Muchin Rosenman LLP
24
Apr
FCA Publishes New Procedures and Forms for Disclosure of Material Changes by Non-UK Managers Marketing in the United Kingdom Katten Muchin Rosenman LLP
24
Apr
DOL Proposes to Revise Definition of “Fiduciary” Under ERISA Katten Muchin Rosenman LLP
24
Apr
Asset vs. Stock Purchase: Basic Asset Purchase Agreement Provisions McBrayer, McGinnis, Leslie and Kirkland, PLLC
24
Apr
ESMA Issues Call for Evidence on Virtual Currency Katten Muchin Rosenman LLP
24
Apr
European Council Approves Strengthened EU Anti-Money Laundering Rules Katten Muchin Rosenman LLP
24
Apr
SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award Katten Muchin Rosenman LLP
24
Apr
ESMA Consults on Knowledge and Competence Requirements Katten Muchin Rosenman LLP
24
Apr
JP Morgan Chase v. Maxim Integrated Products: Decision on Institution CBM2014-00179 Drinker Biddle & Reath LLP
24
Apr
CalPERS Board Member Contests Attorney General’s Conflicts Position Allen Matkins Leck Gamble Mallory & Natsis LLP
23
Apr
SEC Awards More Than One Million Dollars to Compliance Officer Drinker Biddle & Reath LLP
23
Apr
Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About? Katten Muchin Rosenman LLP
23
Apr
Congress: Don’t Dismiss Neutral Dispute Settlement for US Investors Covington & Burling LLP
23
Apr
SEC Awards Compliance Officer Whistleblower Bounty of Approximately $1.5 Million Proskauer Rose LLP
23
Apr
The Use of Alternative Credit in Europe McDermott Will & Emery
23
Apr
Between Bridges by Gary DeWaal: London-Based Futures Trader Arrested, Sued by CFTC and Criminally Charged With Contributing to the May 2010 “Flash Crash” Through Spoofing Katten Muchin Rosenman LLP
22
Apr
DOJ Continues to Beat the Executive Drum in Recent Speeches McDermott Will & Emery
22
Apr
G20 Mildly Optimistic about Growth, Worried About Greece, Annoyed at the US Covington & Burling LLP

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