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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
15
Sep
Creating a Board of Directors: Key Considerations for Startup Companies Mintz
15
Sep
German Government Publishes Proposed Law for Proprietary Trading Firms Katten Muchin Rosenman LLP
13
Sep
FCA Provides Updated Information on SM&CR Implementation Katten Muchin Rosenman LLP
13
Sep
No Equal Dignity For Corporate Officers Allen Matkins Leck Gamble Mallory & Natsis LLP
13
Sep
CFTC’s Global Markets Advisory Committee to Meet on September 24 Katten Muchin Rosenman LLP
13
Sep
FINRA Issues Call for Candidates in Upcoming Small Firm Advisory Committee Election Katten Muchin Rosenman LLP
13
Sep
SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process Katten Muchin Rosenman LLP
13
Sep
SEC: Amendments to CAT NMS Plan & Small Entity Compliance Guide for RegBI & Form CRS Katten Muchin Rosenman LLP
13
Sep
FINRA and SEC Issue Joint Statement on Security Token and Custody Rules Polsinelli PC
13
Sep
Removal Of Directors Without Cause Allen Matkins Leck Gamble Mallory & Natsis LLP
12
Sep
$267 Million Judgment against Debt Collector for TCPA Violations Robinson & Cole LLP
12
Sep
Unforced Errors: Don't Leave a Ground of the Court's Ruling Unchallenged Carlton Fields
12
Sep
Identifying 4(c) and 4(d) Documents for HSR Filings Epstein Becker & Green, P.C.
12
Sep
English Court of Appeal judgment recognises the importance of industry standard ISDA Master Agreement terms when challenged by a competing jurisdiction clause in a financing agreement Squire Patton Boggs (US) LLP
11
Sep
When Employee Consent Is The Start Of The Problem, Not The End – The GDPR Shows Some Teeth Squire Patton Boggs (US) LLP
11
Sep
The SEC Files Another Litigated Disclosure Case – With More Violations Drinker Biddle & Reath LLP
11
Sep
Ouch: California Debt Collector Hit With $267 Million TCPA Verdict Squire Patton Boggs (US) LLP
11
Sep
Best Practices for Plan Sponsors #11 Drinker Biddle & Reath LLP
11
Sep
CARULLCA Transition Issues Left Unaddressed In Recent Decision Allen Matkins Leck Gamble Mallory & Natsis LLP
10
Sep
Board Affirms Right to Unilaterally Implement Changes to Benefit Plans Based on Waiver, Foreshadowing Potentially Looser Standard for Contractual Waivers Proskauer Rose LLP

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