December 6, 2019

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December 05, 2019

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December 04, 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
6
Dec
ESMA Updates AIFMD Q&A Katten Muchin Rosenman LLP
6
Dec
CFTC Issues Guidance on Chief Compliance Officer Annual Report Preparation Katten Muchin Rosenman LLP
6
Dec
2020 Vision: Protecting Your Hospital's Tax-Exempt Status von Briesen & Roper, s.c.
6
Dec
NFA Proposes Amendments to Several NFA Rules and Interpretative Notices to Apply to Cleared Swaps Katten Muchin Rosenman LLP
6
Dec
Feds Issue Badly Needed Hemp and CBD Banking Guidance Wilson Elser Moskowitz Edelman & Dicker LLP
6
Dec
CFTC December Meetings Katten Muchin Rosenman LLP
6
Dec
FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume Katten Muchin Rosenman LLP
6
Dec
Real Property & Financial Services Update: Week Ending November 29, 2019 Carlton Fields
6
Dec
NFA: Forex Dealer Member Update & CPO & CTA Affirmation Req. Exemptions Katten Muchin Rosenman LLP
6
Dec
US Banking Agencies Issue Statement on Alternative Date in Credit Underwriting Katten Muchin Rosenman LLP
6
Dec
European Commission – Get to Know the Ursula von der Leyen (VDL) Commission and Priorities Squire Patton Boggs (US) LLP
6
Dec
Serving Upon Foreign Corporations - What About Code Of Civil Procedure? Allen Matkins Leck Gamble Mallory & Natsis LLP
5
Dec
New SEC Proposed Amendments Respond to Tech Changes and Advancements Schiff Hardin LLP
5
Dec
Woodbridge Trustee Seeks Relief In California's Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
5
Dec
Watch out! Communications referenced/reproduced in settlement agreements might lose without prejudice or litigation privilege from production Squire Patton Boggs (US) LLP
5
Dec
The FTC Explains How It Determines Whether a Transaction Is Structured for the Purpose of Avoiding the Hart-Scott-Rodino Antitrust Improvements Act Epstein Becker & Green, P.C.
5
Dec
Louisiana Court Upholds Ruling Allowing for the Reformation of a Noncompetition Agreement Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
5
Dec
Current “Whole of Government” Approach to Perceived National Security Risks from Chinese Technology Reflected in the FCC’s Latest Universal Service Fund Order Drinker Biddle & Reath LLP
5
Dec
Monitoring ERISA Investment Fiduciaries Epstein Becker & Green, P.C.
4
Dec
Best Interest Standard of Care for Advisors #19 Drinker Biddle & Reath LLP

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