April 27, 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
26
Apr
Court of Chancery Explains Demand Futility Pleading Requirements in the Context of Delaware LLCs K&L Gates
26
Apr
SEC Announces First Whistleblower Award During Trump Era Proskauer Rose LLP
26
Apr
Buying Corporate Assets? Have You Considered This Secretary’s Certificate? Allen Matkins Leck Gamble Mallory & Natsis LLP
26
Apr
Designation of Hundreds of Syrians Provides Insight into OFAC and Reminder of Screening Expectations Holland & Hart LLP
25
Apr
Pay Attention to Bylaws When Taking Corporate Actions Murtha Cullina
25
Apr
The Yates Memo – DOJ Issues Questions and Answers: Question 5 Barnes & Thornburg LLP
25
Apr
Ninth Circuit Court Rules Indirect Purchaser Claims Against Theranos May Proceed Allen Matkins Leck Gamble Mallory & Natsis LLP
25
Apr
The Financial CHOICE Act 2.0, Legislative Text Revealed K&L Gates
25
Apr
SEC Sends a Stern Reminder That It Is Serious About Punishing “Spoofing” and “Layering” Schemes in the Securities Markets K&L Gates
24
Apr
Trump Directs Treasury to Review Dodd-Frank Orderly Liquidation Authority and FSOC Processes Covington & Burling LLP
24
Apr
D.C. Circuit Panel Rules that CFPB Civil Investigative Demand is Overly Broad and Unenforceable Covington & Burling LLP
24
Apr
Bridging the Week: April 17 to 21 and 24, 2017 (Direct Funding Participants; Chatting About FX Trades; You Trade, You Submit) [VIDEO] Katten Muchin Rosenman LLP
24
Apr
Founder’s Decision to Sell: Considerations for Obtaining Sustained Value for Life’s Work Epstein Becker & Green, P.C.
24
Apr
We Need a License To . . . Be a Charity? North Carolina's Charitable Licensing Requirement and Exemptions Ward and Smith, P.A.
24
Apr
Full Steam Ahead with Financial Services Regulatory Reform Squire Patton Boggs (US) LLP
24
Apr
Is Abolishing 457 VISA Putting Australian Jobs First Now, But Putting Australia's Tech Future Last? K&L Gates
24
Apr
California Court of Appeal Defines Good Faith Defense Under UFTA: Uniform Fraudulent Transfer Act Allen Matkins Leck Gamble Mallory & Natsis LLP
23
Apr
SEC Cracking Down on Ponzi Schemes Zuckerman Law
22
Apr
FCA Explores Meaning of “Durable Medium” on Website Katten Muchin Rosenman LLP
21
Apr
CFPB Extends Effective Date for Prepaid Accounts Rule Covington & Burling LLP

Pages

LATEST LEGAL NEWS & ANALYSIS

TRENDING LEGAL ANALYSIS

Upcoming Legal Education Events

Thursday, April 27, 2017
Thursday, May 18, 2017