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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
20
Jul
FINRA Publishes Notice to Members Encouraging Continued Disclosure of Digital Assets Activities Katten Muchin Rosenman LLP
20
Jul
Supreme Court Casts a Wide Net with Rule 10b-5 Carlton Fields
20
Jul
FINRA Announces Final Results of Mutual Fund Waiver Initiative Katten Muchin Rosenman LLP
19
Jul
DOJ Changes Criminal Policy to Recognize Antitrust Compliance Programs Bracewell LLP
19
Jul
FINRA Wants to Hear From Firms BEFORE They Go Crypto Greenberg Traurig, LLP
19
Jul
Hedging Bets: Court Finds Sufficient Allegations of ATDS without Taking Clear Stance on Standard Squire Patton Boggs (US) LLP
19
Jul
FINRA Publishes Guidance on Public Offering Review Process and Private Placement Filings Katten Muchin Rosenman LLP
19
Jul
FINRA Proposes Rule Change Relating to Exemptions from Order Audit Trail System Recording and Reporting Requirements Katten Muchin Rosenman LLP
19
Jul
New EU Prospectus Regulation: Updated ESMA Questions and Answers Katten Muchin Rosenman LLP
19
Jul
Tax Blog: New Questions and Answers for Section 965 McDermott Will & Emery
19
Jul
ESMA Consults on Compliance Function for UK and EU Investment Firms Katten Muchin Rosenman LLP
19
Jul
Illinois Supreme Court Nails Down Status in Big Market: Indexed Annuities Are Not Securities Carlton Fields
19
Jul
A Review of Recent Whistleblower Developments: July 2019 Foley & Lardner LLP
19
Jul
4th Circuit Vacates ARB SOX Whistleblower Decision for Lack of Protected Activity Proskauer Rose LLP
19
Jul
A Future Without Crypto Futures? K&L Gates
19
Jul
Why California Can't Buy Stock Allen Matkins Leck Gamble Mallory & Natsis LLP
18
Jul
Digging into the New HRA Regulations, Part 3 – Premium Tax Credit and Employer Mandate Impact on Individual Coverage HRAs Proskauer Rose LLP
18
Jul
New Chair on the Block Discusses Reconstructing the Suitability Model Carlton Fields
18
Jul
SEC Staff Asks for Time: Feels Pressure From Automatic Filing Effectiveness Carlton Fields
18
Jul
Ruth Bader Ginsburg, Max Scherzer, a $5 million settlement, and How They All Relate to Workplace Parental Leave Policies Zuckerman Law

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