January 27, 2023

Volume XIII, Number 27

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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
26
Jan
CFPB Reiterates Position on ‘Negative Option’ Programs Cadwalader, Wickersham & Taft LLP
26
Jan
SEC Re-Proposes Dodd-Frank Act Section 621 Conflicts of Interest Rule Cadwalader, Wickersham & Taft LLP
26
Jan
Colorado AG Secures Latest Settlement over Unearned GAP Fees Sheppard, Mullin, Richter & Hampton LLP
26
Jan
American Dairy Queen Corporation Sued in Case Offering Guidance on Interpreting Minnesota’s Franchise Act Foley & Lardner LLP
26
Jan
Goodbye LIBOR — Hello Reg ZZ Jones Walker LLP
26
Jan
Proposed FTC Rules Prohibiting Noncompete Agreements Excludes 'Banks' Jones Walker LLP
26
Jan
Start the New Year on the Right Foot by Getting Your ISO and ESPP Returns and Statements Filed on Time K&L Gates
26
Jan
Chick-Fil-A Sued for Sharing Data through Meta Pixel Robinson & Cole LLP
26
Jan
2022 Uniform Commercial Code Amendments Address Emerging Digital Technologies Steptoe & Johnson PLLC
26
Jan
Employees’ Perspective on Source and Use for Series Financings and Acquisitions Mintz
26
Jan
SECURE 2.0 Act — A Bigger and (in Some Ways) Better Version of the SECURE Act Part I — What to Do Now (or Soon) Jones Walker LLP
26
Jan
Kick Start Your Data Inventory Project in 7-Steps Squire Patton Boggs (US) LLP
26
Jan
CFPB: Negative Option Marketing Practices May Violate CFPA Sheppard, Mullin, Richter & Hampton LLP
26
Jan
Congress Eases Criminal Offense Restrictions for Employment With Financial Institutions Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
26
Jan
What Do You Need to Know When Facing an OFAC Investigation? Oberheiden P.C.
25
Jan
Florida CFO Bans ESG Investing By Florida Deferred Compensation Plan Mintz
25
Jan
SEC Issues FAQ With Additional Guidance On New Marketing Rule Barnes & Thornburg LLP
25
Jan
Consumer Advocate Appointed New Director of Justice Department’s U.S. Trustee Program Bradley Arant Boult Cummings LLP
25
Jan
Annual Reports Coming to Pennsylvania and Other Updates to the Pennsylvania Associations Code: Part 3—Renunciation; Business Judgment Rule K&L Gates
25
Jan
Small Business Lenders: CFPB’s Anticipated Section 1071 Rule Would Impose New Data Collection, Reporting Obligations Greenberg Traurig, LLP

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