January 23, 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
Jan
U.S. Elections Implications for International Business Drinker Biddle & Reath LLP
23
Jan
Delaware Chancery Court Explains Standing for Fiduciary Claims When Stockholder is Squeezed Out K&L Gates
23
Jan
Second Circuit Adopts Narrow Interpretation of Trust Indenture Act Provision Intended to Protect Bondholders Katten Muchin Rosenman LLP
23
Jan
New Guidance on “Personal Benefit” Test of Insider Trading Law Murtha Cullina
23
Jan
Revisiting Ascertainability: The Ninth Circuit Court of Appeals Weighs in on “Ascertainability” for Class Certification K&L Gates
23
Jan
Office of Management and Budget (OMB) Director-Designee Mulvaney to Testify at Confirmation Hearings Squire Patton Boggs (US) LLP
23
Jan
Tenth Circuit Court of Appeals Rules SEC Administrative Law Judges Hold Office in Violation of U.S. Constitution Michael Best & Friedrich LLP
23
Jan
DOL Clarifies Proxy Voting Interpretation, Considers ESG Investments Morgan, Lewis & Bockius LLP
23
Jan
California Department of Business Oversight As Religious Regulator Allen Matkins Leck Gamble Mallory & Natsis LLP
21
Jan
ESMA Publishes Briefing on MiFID II Technical Data Reporting Requirements Katten Muchin Rosenman LLP
20
Jan
CFTC’s Enforcement Division Issues New Advisories on Cooperation Katten Muchin Rosenman LLP
20
Jan
OCC’s Fintech Charter Sails Into Choppy Waters Morgan, Lewis & Bockius LLP
20
Jan
Race to Courthouse in Shareholder Derivative Actions Could Raise Due-Process Issues Proskauer Rose LLP
20
Jan
Commodity Futures Trading Commission Grants Order to LCH Katten Muchin Rosenman LLP
20
Jan
40 Days Left Until Compliance Date for Variation Margin Rules for Uncleared Swaps Katten Muchin Rosenman LLP
20
Jan
New York Court of Appeals Clarifies What May Constitute a Binding Agreement in the Sale of Syndicated Loans Proskauer Rose LLP
20
Jan
The Securities and Exchange Commission and Financial Industry Regulatory Authority Release Examination Priorities for 2017 Covington & Burling LLP
20
Jan
FINRA Issues Report on Implications of Blockchain Katten Muchin Rosenman LLP
20
Jan
Two New Sets of DOL Fiduciary Rule FAQs Morgan, Lewis & Bockius LLP
20
Jan
A Welcome Minor Change in Poland K&L Gates

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