August 20, 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
19
Aug
SEC Blockchain and Crypto Update Sheppard, Mullin, Richter & Hampton LLP
17
Aug
Third Circuit Holds Debt Buyer Plainly Qualified as a "Debt Collector" Under FDCPA Ballard Spahr LLP
17
Aug
SEC Issues Smaller Reporting Company Compliance Guide Katten Muchin Rosenman LLP
17
Aug
ECON Publishes Draft Report on Proposed Regulation on European Crowdfunding Service Providers Katten Muchin Rosenman LLP
17
Aug
CFIUS Jurisdiction Expansion and FINRA Regulatory Notice on ATS Supervision Obligations Katten Muchin Rosenman LLP
17
Aug
Democratic Senators Urge Mulvaney to Reconsider MLA Supervision Policy Change Ballard Spahr LLP
17
Aug
Joint Audit Committee Publishes Regulatory Alert Regarding Residual Interest Withdrawals Katten Muchin Rosenman LLP
17
Aug
Bureau of Consumer Financial Protection Issues Final Rule Creating an Exception to Regulation P’s Annual Privacy Notice Requirement Covington & Burling LLP
16
Aug
Calif. Supreme Court: High-Interest Loans May Be Subject to Price Unconscionability Attack Ballard Spahr LLP
16
Aug
Upcoming/New CFIUS Filing: Deutsche Telekom/T-Mobile US and Sprint Corporation Squire Patton Boggs (US) LLP
16
Aug
Section 199A (to Z): Simplifying the Tax Code for Small Businesses is Complicated K&L Gates
16
Aug
RD Legal Funding Asks Judge Preska To Stay NYAG’s Claims Pending CFPB’s Appeal From Rule 54(b) Judgment Ballard Spahr LLP
16
Aug
Arizona Fintech Sandbox Begins Accepting Applications Covington & Burling LLP
16
Aug
The Medical Marijuana Industry and AML: Opportunities and Risks Ballard Spahr LLP
15
Aug
NYAG submits letter on jurisdictional issues in RD Legal Funding case Ballard Spahr LLP
15
Aug
EMS Bankruptcy Preference Complaints: Trade Creditors Protect Yourselves Stark & Stark
15
Aug
All American Check Cashing seeks initial en banc hearing in Fifth Circuit Ballard Spahr LLP
15
Aug
CFPB Collaborates to Create a Global Fintech Network with Regulators around the World Ballard Spahr LLP
15
Aug
Corporate Law & Governance Update: August 2018 McDermott Will & Emery
15
Aug
When Is Compensation Unreasonable? Foley & Lardner LLP

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