May 30, 2016

Securities, SEC, & Financial Institution Law News

Subscribe to The 10 Latest Financial, Banking, & SEC Articles

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
29
May
European Commission Adopts MiFID II Delegated Regulations Katten Muchin Rosenman LLP
28
May
$3.5 Million Awarded to Whistleblower Who Was Initially Rebuffed by SEC Drinker Biddle & Reath LLP
28
May
UK Court of Appeal Decision: Certain Administrative Activities Conducted in the UK Katten Muchin Rosenman LLP
27
May
Between Bridges (May 27, 2016): CFTC Proposes to Authorize Exchanges to Grant Physical Commodity Users Non-Enumerated Hedging Exemptions and Other Relief Related to Speculative Position Limits Katten Muchin Rosenman LLP
27
May
Agencies Issue Guidance on Deposit-Reconciliation Practices Katten Muchin Rosenman LLP
27
May
SEC Releases Target Dates for Proposed and Final Rulemaking Katten Muchin Rosenman LLP
27
May
Wine, Steak, and Massage Parlors Are Personal Benefits for Insider Trading Proskauer Rose LLP
27
May
Senators Warren and Cotton Misled by Misleading Report on Broker Check Stark & Stark
27
May
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative Katten Muchin Rosenman LLP
27
May
FDIC Extends Comment Period on Deposit Account Recordkeeping Proposal Katten Muchin Rosenman LLP
27
May
Thinking about Risk: Are You a Mitigator or an Allocator? Morgan, Lewis & Bockius LLP
27
May
CFTC Adopts Final Rule for Cross-Border Application of Swap Margin Requirements Katten Muchin Rosenman LLP
27
May
Will The Rise Of Tweener Corporations Increase Focus On California’s Annual Report Statute? Allen Matkins Leck Gamble Mallory & Natsis LLP
26
May
FASB Anticipates June Release for Credit Loss Standard; Community Banks Weigh In Jones Walker LLP
26
May
Incentive Stock Options vs. Nonqualified Stock Options – A General Summary Greenberg Traurig, LLP
26
May
Do State Courts Lack Subject Matter Jurisdiction Over Covered Class Actions That Allege Only ’33 Act Claims? Allen Matkins Leck Gamble Mallory & Natsis LLP
26
May
FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of Customer’s Assets to New Firm Greenberg Traurig, LLP
26
May
Midland Funding v. Madden Update: Bank Sale of Loans Morgan, Lewis & Bockius LLP
25
May
The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Rule: The Best Interest Contract Exemption Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
25
May
CFTC Proposes to Allow Private Lawsuits for Transactions in RTOs and ISOs Morgan, Lewis & Bockius LLP

Pages

Advertisement

LATEST LEGAL NEWS & ANALYSIS

TRENDING LEGAL ANALYSIS

Upcoming Legal Education Events

Thursday, June 2, 2016
Thursday, June 2, 2016
Wednesday, June 8, 2016
Tuesday, June 28, 2016