October 21, 2019

October 21, 2019

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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
21
Oct
Director Independence and Demand Futility: A Holistic Inquiry of the Pleading K&L Gates
21
Oct
Weekly IRS Roundup October 14 – October 18, 2019 McDermott Will & Emery
21
Oct
European Commission Adopts Disclosure Templates for EU Securitisation Reporting Cadwalader, Wickersham & Taft LLP
21
Oct
Do Polish Companies and Corporate Law Enter the Digital Era? – Electronic Facilitations in Polish Companies’ Operations and Companies’ Registration Squire Patton Boggs (US) LLP
21
Oct
FCA Fines Tullet Prebon Over £15 Million for Breaches of Principles of Businesses Squire Patton Boggs (US) LLP
19
Oct
Key Governance Developments: A Conversation with Professor Charles Elson McDermott Will & Emery
18
Oct
Stick a Fork in It? IRS Issues Updated Guidance on the Tax Treatment of Cryptocurrency Forks and Provides Answers to a List of FAQ’s Polsinelli PC
18
Oct
Proposed Rules Addressing LIBOR Phase-out Help Ease Reissuance Concerns Bracewell LLP
18
Oct
SEC Announces the Formation of Asset Management Advisory Committee Katten Muchin Rosenman LLP
18
Oct
Waiving Claims for Public Injunctive Relief in California Arbitration Agreements: The McGill Rule on Appeal Mintz
18
Oct
CFTC Approves Proposed Rules Relating to Uncleared Swaps Katten Muchin Rosenman LLP
18
Oct
The Golden Ticket: Will Your Company be Excepted from New CFIUS Regulations? Sheppard, Mullin, Richter & Hampton LLP
18
Oct
CFTC, FinCEN, and SEC Issue Joint Statement on Activities Involving Digital Assets Katten Muchin Rosenman LLP
18
Oct
As Courts Continue To Grapple With The Severability of The Federal Debt-Collection Exemption, SCOTUS Is Asked to Resolve The Issue Drinker Biddle & Reath LLP
18
Oct
Bipartisan Banking Committee Senators Introduce Anti-Money Laundering Reform Bill Squire Patton Boggs (US) LLP
18
Oct
SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion Katten Muchin Rosenman LLP
18
Oct
CCPA Proposed Rules: Trust Less, Verify More Womble Bond Dickinson (US) LLP
18
Oct
Is A Pre-Issuance Form D Filing Requirement In The Offing? Allen Matkins Leck Gamble Mallory & Natsis LLP
18
Oct
FCA Updates Change of Control Webpages Katten Muchin Rosenman LLP
18
Oct
End of Round One for TPR? Squire Patton Boggs (US) LLP

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