September 26, 2021

Volume XI, Number 269

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September 23, 2021

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Securities, SEC, & Financial Institution Law News

The Financial institutions and banking sectors are highly regulated in the US and throughout the world with stiff penalties for failure to comply with regulations. The National Law Review addresses legal issues, compliance concerns, financial regulatory schemes, broker-deals, insolvency and restructuring, and structured transaction negotiations.

Regulatory Agencies with Financial Services

Readers can learn about new loan transactions, international trade agreements, mortgage loans and bank financing legislation, and other news as it unfolds in the US and around the world. Details that are covered by governmental and regulatory agencies including the Commodity Futures Trading Commission (CFTC), the Consumer Financial Protection Bureau (CFPB), and the Financial Industry Regulatory Authority (FINRA), are routinely updated on the site. With ongoing agency news dealing with the CFPB, agency directors, and nominations to financial and banking agencies, the National Law Review constantly adds new cases and newsreaders want to remain informed about.

Global Financial Services

International banking and financial institutions news is also covered on the National Law Review. UK regulatory framework covered, including the Australian crowd-sourced funding regime, and EU’s Markets in Financial Instruments Directive (MiFID), along with international insolvency, news, and legislation from around the world, which are linked to non-US foreign banks and institutions, are regularly published online.  Additionally, the legal experts at the National Law Review consistently offer updates on the United Kingdom Financial Conduct Authority and the effects of Brexit.

Financial Services and Innovation

The National Law Review also covers hot topics such as financial services law and FinTech (financial technology). Additionally, we cover topics like bitcoin, cryptocurrency transactions, SEC regulations, blockchain technologies, and compliance under finance laws like the Dodd-Frank Wall Street Reform and Consumer Protection Act. Additionally, cases and news which is governed under the Federal Reserve Act, the Fair Credit and Reporting Act, Gramm-Leach-Bliley Act, and Equal Credit Opportunity Act, are also analyzed in articles on the site.

Securities & the SEC

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The National Law Review covers news and updates coming out of the SEC, including information about updates on the US SEC EDGAR system and related requirements, rules designed to limit and enforce rules against Insider Trading and Anti-Money Laundering settlements. Additionally, analysis of the SEC Division of Investment Management leadership and proposed rulemakings.

For hourly updates on the latest news about Wall Street, banking, financial, securities/SEC regulations, laws, and legislation be sure to follow our Financial, Banking, and Securities Law Twitter feed, and sign up for complimentary e-news bulletins.

Date Title Organization
25
Sep
The Outdoor Network: Preparing for Claims with Jim Hughes [PODCAST] Bracewell LLP
25
Sep
Wearing Many Hats [PODCAST] Bracewell LLP
24
Sep
New California Law Imposes Strict Quota on Warehouse Distribution Centers (This Means You, Amazon!) Proskauer Rose LLP
24
Sep
Ransom Demands: To Pay or Not to Pay? Wilson Elser Moskowitz Edelman & Dicker LLP
24
Sep
New York State Issues Updated Model Workplace Safety Plans and FAQ Guidance Under the HERO Act Proskauer Rose LLP
24
Sep
Los Angeles County to Require Proof of Vaccination at Certain Indoor Establishments – for Both On-Site Employees and Patrons Epstein Becker & Green, P.C.
24
Sep
The Battle over BLACK IRISH Liqueur Norris McLaughlin P.A.
24
Sep
District Court Finds Equitable Relief Not Available to Private Litigants Under FCRA Womble Bond Dickinson (US) LLP
24
Sep
Whistleblower Receives $36 Million from SEC Kohn, Kohn & Colapinto
24
Sep
Beijing Patent Attorney Association Research Shows Chinese Patent Drafting is 1/4 the Price of U.S. Patent Drafting Schwegman, Lundberg & Woessner, P.A.
24
Sep
Massachusetts Department of Revenue Stops Applying COVID-19 Telecommuting Policy, Returns to Location of Work Performed McDermott Will & Emery
24
Sep
What Do I Need to Know About Eminent Domain Compensation? Roetzel & Andress LPA
24
Sep
TCPA QUICK HITTER: No Discovery, No Judgment–TCPA Defendant Stuck in Case After it Failed to Ask for Critical Evidence Squire Patton Boggs (US) LLP
24
Sep
Catching Up on the 2021 Clean Water Act Releases Robinson & Cole LLP
24
Sep
Court Upholds Termination of Employee Who Used Prescription Medication That Was Prescribed 5 Years Earlier Jackson Lewis P.C.
24
Sep
Courts Have Authority to Strike Unmanageable PAGA Claims, Says CA Court of Appeals Hunton Andrews Kurth
24
Sep
Over $1 Billion Whistleblower Awards Paid to Date by the SEC Proskauer Rose LLP
24
Sep
Department of the Treasury Issues New Advisory Regarding Ransomware Payments Polsinelli PC
24
Sep
Proposed Tax Legislation Would Dramatically Impact Private Wealth Planning Katten
24
Sep
Where To Find Common Stock In The California General Corporation Law Allen Matkins Leck Gamble Mallory & Natsis LLP

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