July 21, 2017

Securities, SEC, & Financial Institution Law News

The National Law Review features the latest news and legal developments affecting all participants in the financial services industry. We cover news on debt finance, U.S. futures exchanges, broker-dealers, insolvency and restructuring, financial services technology (“FinTech”), and investment management, as well as regulatory rules issued by the Commodities and Futures Exchange Commission (“CFTC”), the Federal Reserve, and Financial Industry Regulatory Authority, Inc. (“FINRA”). Analysis includes compliance under finance laws including the Dodd Frank Wall Street Reform and Consumer Protection Act, the Federal Reserve Act, Gramm-Leach-Bliley Act, Fair Credit Reporting Act, Equal Credit Opportunity Act and more.

Along with Financial Services, National Law Review also has comprehensive coverage involving securities regulation and enforcement actions by the Securities and Exchange Commission (“SEC”).  We feature regular articles on the SEC, and how to best respond to enforcement actions and reporting requirements and how to comply with new regulations and changes in securities law and litigation.  Additionally, the National Law Review has comprehensive coverage of whistleblower regulations and news about whistleblower awards.

Date Title Organization
20
Jul
Virgin Islands Enacts New Third Party Administrator Law Polsinelli PC
20
Jul
Is It Time to Update Your Contract's SSAE Audit Language? Morgan, Lewis & Bockius LLP
20
Jul
Plaintiffs Pedal Their Way to Preliminary Approval: Cody v. SoulCycle Inc. Drinker Biddle & Reath LLP
20
Jul
Contract Corner: Liquidated Damages Clauses Morgan, Lewis & Bockius LLP
20
Jul
New Partnership Audit Rules Apply Beginning January 1, 2018: Is Your Business Ready? K&L Gates
20
Jul
Acting Comptroller Noreika Addresses Challenges to OCC’s Fintech Charter Covington & Burling LLP
20
Jul
Impact of DOL Fiduciary Rule on Broker-Dealers: Recommending Annuities to IRA Investors Drinker Biddle & Reath LLP
20
Jul
Proposed APRA Powers over Non-Bank Lenders K&L Gates
20
Jul
Delaware Court of Chancery Holds Stockholder not Bound by Stock Transfer Restrictions not Noted on Stock Certificates K&L Gates
20
Jul
Case Of Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned Allen Matkins Leck Gamble Mallory & Natsis LLP
20
Jul
Sixth Circuit Gives CFPB Rare Loss on Merits by Granting Summary Judgment on Respa Section 8 Claims K&L Gates
20
Jul
Protecting Your Business from Wildfires Risk and Insurance Management Society, Inc. (RIMS)
19
Jul
HSAs and the ERISA Fiduciary Rule: What Employers Should Know Michael Best & Friedrich LLP
19
Jul
Chairman Clayton Outlines His “Guiding Principles” for SEC Vedder Price
19
Jul
Yellen Floats Possible Regulatory Changes in Senate Testimony Covington & Burling LLP
19
Jul
No Experience? No Problem! 3 New Tools For Your Daubert Toolkit IMS ExpertServices
19
Jul
Ninth Circuit Court Declines To Impose Alter Ego Liability On LLC’s President Allen Matkins Leck Gamble Mallory & Natsis LLP
18
Jul
Task Force on Climate-Related Financial Disclosures Report Will Shape Future Expectations for Climate-Related Financial Disclosures Beveridge & Diamond PC
18
Jul
DOL’s RFI and Recommendation of Annuities- Interesting Angles on DOL’s Fiduciary Rule #55 Drinker Biddle & Reath LLP
18
Jul
CFPB Proposes to Ease HMDA Reporting Requirements for Community Banks and Credit Unions Covington & Burling LLP

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