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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
1
Apr
SBA Loans Under the CARES Act Foley & Lardner LLP
1
Apr
SBA Publishes Sample Application for Payroll Protection Program Loans Under CARES Act (US) Squire Patton Boggs (US) LLP
1
Apr
Expanding Your Fintech Payments Business to the U.S. [VIDEO] K&L Gates
31
Mar
Ninth Circuit Creates ‘Concise Explanation’ Standard for Background Check Disclosure Forms Womble Bond Dickinson (US) LLP
31
Mar
Treasury Department Releases Vital Paycheck Protection Program Information Ward and Smith, P.A.
31
Mar
Force Majeure and Material Adverse Change in Reserve Based Lending (RBL): When Two Black Swans Collide Bracewell LLP
31
Mar
CARES Act Fixes Retail and Restaurant Tax Glitch - Refunds Might Now Be Available for 2018 and 2019 Tax Years Allen Matkins Leck Gamble Mallory & Natsis LLP
31
Mar
SEC Updates Investment Company Act Exemptive Order in Response to COVID-19 Vedder Price
31
Mar
Maryland Issues Comprehensive Stay-at-Home Order Affecting Businesses and Employees Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
31
Mar
Business Considerations: CARES Act Corporate Governance, Compensation and Employee-Related Obligations Vedder Price
31
Mar
General, Unspecified Demands Are Insufficient To Maintain A Derivative Claim Womble Bond Dickinson (US) LLP
31
Mar
Protecting Social Media Contact Lists as Trade Secrets Sheppard, Mullin, Richter & Hampton LLP
31
Mar
Funds Available to Businesses Under the Coronavirus Economic Stabilization Act (CARES ACT Title IV) Sheppard, Mullin, Richter & Hampton LLP
31
Mar
COVID-19 Update: Banking Agencies Delay CECL Capital Impacts Cadwalader, Wickersham & Taft LLP
31
Mar
New York’s Executive Order 202.10: What does it say, to whom does it apply and what does it mean? Wilson Elser Moskowitz Edelman & Dicker LLP
31
Mar
Just Starting Up A Company? You Might Not Be Considered A “Competitor” To Those You Compete With Womble Bond Dickinson (US) LLP
31
Mar
Climate Change Disclosures for Premium-Listed Companies on the London Stock Exchange Bracewell LLP
31
Mar
Virginia, Maryland, and Washington, D.C. Issue Stay-at-Home Orders on March 30, 2020 Greenberg Traurig, LLP
31
Mar
COVID-19: UK Public Sector Construction – Cash Flow Relief for Suppliers K&L Gates
31
Mar
COVID-19 Update: NYSE and Nasdaq Consider Impact of COVID-19 Cadwalader, Wickersham & Taft LLP

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