September 29, 2022

Volume XII, Number 272

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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 that 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 newsreaders 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.

For hourly updates on the latest news about Wall Street, banking, financial, securities/SEC regulations, laws, and legislation be sure to follow our Financial, Banking, and Securities Law Twitter feed, and sign up for complimentary e-news bulletins.

Date Title Organization
29
Sep
Wined and Fined: OFSI Imposes Financial Penalty on UK Company for Publicising Sanctioned Crimean Winery Greenberg Traurig, LLP
29
Sep
Public Criticism of Ratings Used for ESG Investing Mintz
29
Sep
CFTC Asserts Jurisdiction Over DAOs in Groundbreaking Enforcement Action K&L Gates
29
Sep
Holders of DAO Governance Tokens Beware: According to the CFTC, Voting May Be Hazardous to Your Well-Being Katten
29
Sep
Update from DOJ's Corporate Crime Advisory Group Beveridge & Diamond PC
29
Sep
New Executive Order Identifies National Security Risks for CFIUS to Consider When Assessing Foreign Investment in US Businesses Greenberg Traurig, LLP
29
Sep
Looking To Buy? Cross-Border M&A Trends For Manufacturers Robinson & Cole LLP
29
Sep
IRS Delays Additional Amendment Deadlines for Major Retirement Legislation Miller Canfield
29
Sep
United States: CFTC Reaches Settlement with Oil and Natural Gas Advisor for Failure to Register as A SEF K&L Gates
29
Sep
OIG Declines To Challenge Debt Cancellation and Restructured Financial Arrangements Between Health System and FQHC “Look-Alike” Clinic ArentFox Schiff LLP
29
Sep
What’s Important About Federal Registration of Bank Trademarks Jones Walker LLP
29
Sep
From the Edge - In the Boardroom: Session 4 - ESG in the Boardroom [PODCAST] Mintz
29
Sep
A Light in the Dark: Seventh Circuit Helps Clarify New Pleading Standards for 401(K) Fee Cases McDermott Will & Emery
29
Sep
Privacy Tip #345 – Be Wary of Scammers After Natural Disasters Robinson & Cole LLP
29
Sep
When A Business Trust Might Also Be A Foreign Corporation Allen Matkins Leck Gamble Mallory & Natsis LLP
29
Sep
Second Circuit Rules in Favor of Citibank in Accidental $500m Transfer in Revlon Loan Transaction Cadwalader, Wickersham & Taft LLP
29
Sep
Metaverse Casinos: A Regulatory Wild West Nelson Mullins
28
Sep
DAG Monaco Defines DOJ Guidance for Corporate Criminal Enforcement Ankura
28
Sep
The Third Time Is the Charm: The Eleventh Circuit Allows Creditor's Use of Commercial Mail Vendor K&L Gates
28
Sep
Department of Justice Announces “Strike Force Teams” Focused on Pandemic Fraud Varnum LLP

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