December 15, 2018

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
14
Dec
FINRA Issues Report on Examination Findings Katten Muchin Rosenman LLP
14
Dec
Contract Language Must Be Unambigous For Chancery Court To Grant Dismissal As Matter Of Law K&L Gates
14
Dec
Short Selling (Amendment) (EU Exit) Regulations 2018 Made in Preparation of Brexit Katten Muchin Rosenman LLP
14
Dec
FCA Publishes Consultation Paper on Restricting CFD Products Sold to Retail Clients and on Product Intervention Measures for Retail Binary Options Katten Muchin Rosenman LLP
14
Dec
HM Treasury Publishes Updated Draft Brexit Statutory Instrument Relating to Collective Investment Schemes Katten Muchin Rosenman LLP
14
Dec
Proposed Changes to Entrepreneurs' Relief Katten Muchin Rosenman LLP
14
Dec
Why Does The SEC Insist That Some Defendants Lie? Allen Matkins Leck Gamble Mallory & Natsis LLP
14
Dec
Federal Court Cites Rooker-Feldman Doctrine and New Jersey “Entire Controversy Doctrine” to Decline Jurisdiction of FCRA Claims Womble Bond Dickinson (US) LLP
13
Dec
CFPB Critics Seek Issuance Of 2018 Student Loan Ombudsman Annual Report Ballard Spahr LLP
13
Dec
Are You Ready for the Next Downturn? Reverse Veil Piercing May Be Used to Reach an LLC's Assets Allen Matkins Leck Gamble Mallory & Natsis LLP
13
Dec
First U.S. Indictment Relating to Panama Papers Charges Lawyer, Asset Manager, Accountant and Client Ballard Spahr LLP
13
Dec
Deputy AG Rosenstein’s DOJ Policy Speech: Criminal and Civil Implications for Corporations Wilson Elser Moskowitz Edelman & Dicker LLP
13
Dec
DOJ agrees CFPB is unconstitutional but opposes grant of certiorari in State National Bank of Big Spring case Ballard Spahr LLP
13
Dec
CFPB issues annual fair lending report Ballard Spahr LLP
13
Dec
FDIC Announces Initiatives to Streamline De Novo Application Process Jones Walker LLP
13
Dec
10 Millionth U.S. Patent Milestone Illustrates Increasing Competition in Innovation Davis Kuelthau
13
Dec
FCA – “Unacceptable” Low Levels of Suitable Pension Transfer Advice Squire Patton Boggs (US) LLP
13
Dec
N.C. Supreme Court Interprets California Demand Requirement, But Did The Statute Apply? Allen Matkins Leck Gamble Mallory & Natsis LLP
12
Dec
CFPB Settles with Savings and Loan Association for Alleged Violations of the FCRA Drinker Biddle & Reath LLP
12
Dec
Department of Justice Announces Important Revisions to the Yates Memo Drinker Biddle & Reath LLP

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