December 9, 2022

Volume XII, Number 343

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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
9
Dec
Former Theranos Executive Ramesh “Sunny” Balwani Sentenced to Nearly 13 Years ArentFox Schiff LLP
9
Dec
SEC Releases FY 2022 Whistleblower Annual Report Proskauer Rose LLP
9
Dec
Chinese-Based Hackers Alleged to Have Stolen $20M in COVID-19 Relief Fraud Schemes Robinson & Cole LLP
9
Dec
James Joyce Ineluctably Meets Cryptoassets Allen Matkins Leck Gamble Mallory & Natsis LLP
9
Dec
Could Data Brokering Become the New Stock Trading? Robinson & Cole LLP
8
Dec
Biden-Harris Administration Invests $981 Million to Expand Market Opportunities for Rural Businesses and Entrepreneurs in 47 States, Guam and the U.S. Virgin Islands U.S. Department of Agriculture
8
Dec
Bond Traders Face Ban for Market Abuse in the UK Cadwalader, Wickersham & Taft LLP
8
Dec
Now You See It, Now You Don’t: SEC’s Final Rule on Clawback Policies Dinsmore & Shohl LLP
8
Dec
CFPB Targets Financial Services Company for Deceptive Advertising Sheppard, Mullin, Richter & Hampton LLP
8
Dec
California’s First Offshore Wind Auction Finalized – Key Takeaways Sheppard, Mullin, Richter & Hampton LLP
8
Dec
Discrimination, Harassment, and Corporate Transparency Mintz
8
Dec
Policy Renewals: Has Your Insurer Been Naughty or Nice? Hunton Andrews Kurth
8
Dec
DOJ Continues to Emphasize Antitrust Merger Enforcement Epstein Becker & Green, P.C.
8
Dec
PTO and Copyright Office Seek Public Comments on Non-Fungible Tokens McDermott Will & Emery
8
Dec
Global Perspective on Patenting of Blockchain, Crypto, and DeFi Technologies ArentFox Schiff LLP
8
Dec
ASIC Gears Up Enforcement Activity K&L Gates
8
Dec
Ten Minute Interview: Private Market Investments [PODCAST] Foley & Lardner LLP
8
Dec
If A Lease Is Not "Valid", Is It Void or Voidable? Allen Matkins Leck Gamble Mallory & Natsis LLP
7
Dec
From the Edge - In the Boardroom: Session 6 - Crises in the Boardroom [PODCAST] Mintz
7
Dec
Quantifying Cryptocurrency Claims in Bankruptcy: Does the Dollar Still Reign Supreme? Cadwalader, Wickersham & Taft LLP

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