June 25, 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
23
Jun
CFPB Seeks Contempt Order against Investigation Target Covington & Burling LLP
23
Jun
MiFID II Implementing Legislation Published Katten Muchin Rosenman LLP
23
Jun
CFPB Seeks Comment on Proposed Changes to Prepaid Rule Katten Muchin Rosenman LLP
23
Jun
The Week Ahead in the European Parliament – June 23, 2017 Covington & Burling LLP
23
Jun
CFTC Revisions to Freedom of Information Act Regulations Katten Muchin Rosenman LLP
23
Jun
CFTC Unanimously Approves Revisions to Delegated Authorities and Technical Amendments Katten Muchin Rosenman LLP
23
Jun
CFPB Reports and Acts on Complaints about Student Loan Servicer Handling of Public Service Loan Forgiveness Program Covington & Burling LLP
23
Jun
EC Launches Systematic Internalizer Amendment Consultation and Publishes Commodities Reporting ITS Katten Muchin Rosenman LLP
23
Jun
Banking Agencies Give Tame Testimony on Financial Services Reform Morgan, Lewis & Bockius LLP
23
Jun
FINRA Proposes to Make New TRACE Security Activity Reports Available Katten Muchin Rosenman LLP
23
Jun
FCA Updates Cyber Resilience Advice Katten Muchin Rosenman LLP
23
Jun
Clipping The Wings Of Government: LGPS Investment Guidance Found Unlawful Squire Patton Boggs (US) LLP
23
Jun
The Dominican Republic’s New Anti-Money Laundering and Terrorist Financing Act Squire Patton Boggs (US) LLP
23
Jun
Nevada Imposes Fiduciary Obligations on Broker-Dealers and Investment Advisers Morgan, Lewis & Bockius LLP
23
Jun
Does Work Product Belong To The Lawyer Or The Law Firm? Allen Matkins Leck Gamble Mallory & Natsis LLP
22
Jun
UK Joint Money Laundering Steering Group Consults on Revisions to Its Sanctions Guidance Squire Patton Boggs (US) LLP
22
Jun
Issue Price: Notes from the Field Squire Patton Boggs (US) LLP
22
Jun
U.S. DOJ Files Brief Supporting Arbitration Agreements That Bar Employee Class Actions Holland & Hart LLP
22
Jun
Council of European Union Extends Sanctions Against Syria Until 1 June 2018 Squire Patton Boggs (US) LLP
22
Jun
Lending Club Decision Provides Guidance For Bringing Section 11 Claims Based on Weaknesses in Internal Controls Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

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