December 2, 2022

Volume XII, Number 336

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November 30, 2022

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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
2
Dec
Australia Passes Privacy Legislation Amendment (Enforcement and Other Measures) Bill 2022 K&L Gates
2
Dec
Elizabeth Holmes Sentenced to 11 Years in Prison ArentFox Schiff LLP
2
Dec
Court Of Appeal Declines To "Sit On" Board Diversity Judgment Allen Matkins Leck Gamble Mallory & Natsis LLP
1
Dec
Case Law Update: Disputes Relating to Supply Chain Disruptions Hit the Courts Foley & Lardner LLP
1
Dec
FINRA to Examine Broker-Dealer Crypto Communications Mintz
1
Dec
Proposed UCC Amendments to Article 12 Shed New Light on Transacting and Securing Interests in Digital Assets Greenberg Traurig, LLP
1
Dec
European Union Adopts Corporate Sustainability Reporting Directive With Impacts Beyond Europe Hunton Andrews Kurth
1
Dec
ESG Opportunities for Distressed Real Estate Greenberg Traurig, LLP
1
Dec
FCA Seeks Feedback on ‘Synthetic’ USD LIBOR Cadwalader, Wickersham & Taft LLP
1
Dec
What’s Next for Blockchain and Crypto? Foley & Lardner LLP
1
Dec
Senator Wyden Seeks Information from Crypto Exchanges Regarding Their Financial Stability and Customer Protections in the Event of Bankruptcy Cadwalader, Wickersham & Taft LLP
1
Dec
FRB and FDIC Provide Resolution Plan Feedback to Eight U.S. G-SIBs Cadwalader, Wickersham & Taft LLP
1
Dec
EU Consultation on ESG Fund Names and SFDR Q&As Cadwalader, Wickersham & Taft LLP
1
Dec
Rule 15c2-11 Update: The SEC Provides Temporary Relief for Fixed Income Rule 144A Securities Until January 4, 2025 Cadwalader, Wickersham & Taft LLP
1
Dec
2022 Midterms and the Future of the Safe Banking Act Bradley Arant Boult Cummings LLP
1
Dec
Key Priorities for Borrowers in a Bear Market Greenberg Traurig, LLP
1
Dec
Compliance Update — Insights and Highlights Jones Walker LLP
1
Dec
SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities Proskauer Rose LLP
1
Dec
Australian Regulatory Update – 28 November 2022 K&L Gates
1
Dec
What Is The List Of Central Locations For Service Of Process? Allen Matkins Leck Gamble Mallory & Natsis LLP

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