September 26, 2020

Volume X, Number 270

September 25, 2020

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September 24, 2020

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September 23, 2020

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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 which 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 news readers 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.

Date Title Organization
25
Sep
ESG: EU Survey on Mandatory Disclosure Templates for Use by Financial Services Firms Katten
25
Sep
Two International Whistleblowers Issued Awards from SEC Totaling $2.5 Million Kohn, Kohn & Colapinto
25
Sep
Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners Winstead
25
Sep
Fighting Invisible Procurement Collusion: Avoiding the Big Squeeze MoginRubin
25
Sep
EU Commission Adopts Time-Limited Decision for Continued Access to UK Central Counterparties Katten
25
Sep
Update on the Assault Upon FTC Enforcement Authority: Monetary Disgorgement Challenges and Executive Direction to Reform Agency Operations Hinch Newman LLP
25
Sep
ESMA Publishes Consultation Paper on MiFIR Reference Data and Transaction Reporting Katten
25
Sep
FCA Publishes Webpage for LIBOR Transition Katten
25
Sep
Joint Audit Committee Revises Earlier Regulatory Alerts to Conform to CFTC Letter No. 20-28 Katten
25
Sep
The Energizer – Volume 75 K&L Gates
25
Sep
SEC Adopts Shareholder Amendments & Issues C&DI Katten
25
Sep
SEC Finalizes Changes to the Requirements for Submission of Shareholder Proposals: Prepare for 2022 Proxy Season Jones Walker LLP
25
Sep
Indian Nations Law Update - September 2020 Godfrey & Kahn S.C.
25
Sep
NFA Announces Webinar to Debut Updated Annual Questionnaire Katten
25
Sep
Indiana AG Proposed Regulations Creating Corrective Action Plan Requirement and Cybersecurity Safe Harbor Jackson Lewis P.C.
25
Sep
DOI Releases Proposal to Revise Supplemental Financial Assurance Requirements for Offshore Decommissioning Costs Van Ness Feldman LLP
25
Sep
Spotlight on Past Price Hikes: Anticipating and Establishing Defenses to Price-Gouging Class Actions Proskauer Rose LLP
25
Sep
Ontario Employers Take Note: Minimum Wage Is Increasing October 1, 2020 Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
25
Sep
Acting Assistant Attorney General Brian Rabbitt Announces 57 Charged with PPP Fraud in Remarks Delivered at PPP Fraud Enforcement Press Conference Mintz
25
Sep
Claims of Lien For Community Associations: How to Effectively Utilize them to Compel Payment Ward and Smith, P.A.

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