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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
23
Oct
Section 9(a)(4) Versus Section 25400(d) Allen Matkins Leck Gamble Mallory & Natsis LLP
22
Oct
Maintaining Good Corporate Governance: Entire Fairness Creeping Into Actions Benefiting A Controlling Stockholder K&L Gates
22
Oct
DOL Proposed NEW Electronic Disclosures Rule Jackson Lewis P.C.
22
Oct
A Signature Alone Is Not Dispositive Evidence Of An Intent To Be Bound In An Agreement K&L Gates
22
Oct
Recent Director and Executive Compensation Lawsuits Heighten Need for Robust Corporate Governance Womble Bond Dickinson (US) LLP
22
Oct
Moving on from LIBOR Squire Patton Boggs (US) LLP
22
Oct
Failure to Make Demand on Board Prior to Commencing Derivative Action not Excused When Plaintiff Did Not Demonstrate That Demand Would Have Been Futile Because Directors Acted in Bad Faith by Knowingly Breaching Oversight Responsibilities K&L Gates
22
Oct
Finally…OSHA Focuses on Leading Indicators in Safety & Health Jackson Lewis P.C.
22
Oct
How Do We Thrive Together: Understanding the “Yours, Mine, and/or Ours” of Intellectual Property Rights in Joint Development Agreements Womble Bond Dickinson (US) LLP
22
Oct
Still Tax, Even Without The Distributed Cash McDermott Will & Emery
22
Oct
Tech-Tuned Workplace, Episode 3: The Role of Technology in HR [PODCAST] Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
22
Oct
THE ENERGIZER – Volume 54 K&L Gates
22
Oct
New York Court Compels Arbitration of Commercial Marijuana Dispute Carlton Fields
22
Oct
Regular, On-Site Attendance Is Essential Function of Auditor Job, Sixth Circuit Rules Jackson Lewis P.C.
22
Oct
CLA Corporations Committee Comments On Proposed Regulation S-K Changes Allen Matkins Leck Gamble Mallory & Natsis LLP
22
Oct
Bermuda Launches Two Key Fintech Initiatives, Becomes First Nation to Accept Stable Coins for Government Payments Greenberg Traurig, LLP
21
Oct
How to Write Gender-Neutral Contracts Mintz
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

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