March 22, 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
22
Mar
SEC Adopts Amendments to Require Exhibit Hyperlinks in Registration Statements and Exchange Act Reports Jones Walker LLP
22
Mar
While We Wait: The Current Fiduciary Rule and Annuities: Interesting Angles on DOL’s Fiduciary Rule #41 Drinker Biddle & Reath LLP
22
Mar
Even In Nevada, “Get It In Writing” May Not Be Far From The Mark: Desert Palace v. Michael Allen Matkins Leck Gamble Mallory & Natsis LLP
22
Mar
Reporting on Payment Practices and Performance in United Kingdom Squire Patton Boggs (US) LLP
22
Mar
SEC Conflict Minerals Rule Faces New Scrutiny Ahead of May Filing Deadline Beveridge & Diamond PC
22
Mar
Delaware Chancery Court Reaffirms Liberal Interpretation of Mandatory Indemnification Statute, Grant Summary Judgement in Favor of Former CFO K&L Gates
21
Mar
Brooklyn Supreme Court Recognizes Private Right of Action for Not-for-Profit Employees under New York Nonprofit Revitalization Act Whistleblower Policy Requirement Proskauer Rose LLP
21
Mar
The Yates Memo – DOJ Issues Questions and Answers: Question 2 Barnes & Thornburg LLP
21
Mar
National Credit Union Administration (NCUA) Requests Public Comment on Use of Alternative Capital for Credit Unions Womble Carlyle Sandridge & Rice, PLLC
21
Mar
Financial Inclusion and Robust Regulation Are on the Table as OCC Pushes Ahead With Fintech Charter K&L Gates
21
Mar
Disgorgement Claims Continue To Confound Courts in ERISA Class Actions Jackson Lewis P.C.
21
Mar
Non-Use Agreement Need Not Precede Disclosure of Confidential Information Proskauer Rose LLP
21
Mar
SEC Proposes Significant Alterations for Financial Obligation Disclosures for Governmental Issuers and Certain Nonprofit Organizations Polsinelli PC
21
Mar
US Commodity Futures Trading Commission FinTech Initiative K&L Gates
21
Mar
United Kingdom Government's Digital Strategy K&L Gates
21
Mar
California Court Finds Lawsuit By Corporation Against Minority Shareholder Is “Protected Activity” Allen Matkins Leck Gamble Mallory & Natsis LLP
21
Mar
Delaware Court of Chancery Denies Cross-Motions for Partial Summary Judgement Pending Further Factual Development in Delaware Master Limited Partnership Unitholder Litigation K&L Gates
20
Mar
Fast Track Settlement Now For Small Business/Self Employed Taxpayers McDermott Will & Emery
20
Mar
Between Bridges: March 20, 2017 – CME Group Settles Disciplinary Action Alleging That Automatic Liquidation of Under-Margined Customers’ Positions By Non-US Futures Broker Constituted Disruptive Trading Katten Muchin Rosenman LLP
20
Mar
CFPB Complaint Against Intercept Corporation is Dismissed for Failure to State a Claim Covington & Burling LLP

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