July 26, 2016

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
26
Jul
Representations And Warranties Insurance: Understanding the Underwriting Process, Timeline, and Key Coverage Terms McDermott Will & Emery
26
Jul
Investment Tax Credit Lessee Income Inclusion Guidance Issued McDermott Will & Emery
26
Jul
Investment Policies: Interesting Angles on the DOL’s Fiduciary Rule #13 Drinker Biddle & Reath LLP
26
Jul
SEC Adopts Amendments Updating its Rules of Practice for Administrative Proceedings Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
26
Jul
SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway Greenberg Traurig, LLP
26
Jul
UK's Upper Tribunal Refuses to Stay Regulatory Proceedings Pending Criminal Trial Squire Patton Boggs (US) LLP
26
Jul
California Corporations Code: Is Rescission Ever Legal? Allen Matkins Leck Gamble Mallory & Natsis LLP
26
Jul
Fiduciary Liability Update: Seventh Circuit Holds ERISA Permits Indemnification or Contribution Among Fiduciaries Drinker Biddle & Reath LLP
26
Jul
Quick Guide to Section 338(h)(10) Elections Greenberg Traurig, LLP
25
Jul
Proposed Rule Relates to Investment Advisers' Business Continuity and Transition Plans Bracewell LLP
25
Jul
Can Parties Use Settlement Agreements to Vacate a Prior Judgment? Proskauer Rose LLP
25
Jul
Investment Firm to Pay Record $11 Million Fine for Violation of Hart-Scott-Rodino Act Bracewell LLP
25
Jul
Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] Katten Muchin Rosenman LLP
25
Jul
SEC Examiners Focused on Fund Share Class Conflicts of Interest Morgan, Lewis & Bockius LLP
25
Jul
Municipal Advisor, School Consultant, Associated Individuals Enter Settlement Offers with SEC After First-of-its-Kind Municipal Advisor Antifraud Enforcement Action Bracewell LLP
25
Jul
California Corporations Code: When Share Rescission Is Not Distribution Allen Matkins Leck Gamble Mallory & Natsis LLP
24
Jul
European Commission Adopts Markets in Financial Instruments Directive (MiFID II) and MiFIR Delegated Regulations Katten Muchin Rosenman LLP
23
Jul
ESMA Publishes Advice on Potential Extension of AIFMD Marketing Passport Katten Muchin Rosenman LLP
22
Jul
New Governance Best Practices Released: Commonsense Principles of Corporate Governance McDermott Will & Emery
22
Jul
EU Commissioner Confirms No Rush To Relocate Euro Clearing Inside Eurozone Katten Muchin Rosenman LLP

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