October 6, 2022

Volume XII, Number 279

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October 04, 2022

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October 03, 2022

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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
5
Oct
Further Export Controls on Semiconductor Technology for China coming this Week Sheppard, Mullin, Richter & Hampton LLP
5
Oct
Venture Capital Firms Sitting on Billions in Dry Powder: Will This Lead to a Wave of Investment? Foley & Lardner LLP
5
Oct
Inflation + Customer/Vendor Contracts = Bankruptcy? Hunton Andrews Kurth
5
Oct
Illinois Federal Court Applies Seventh Circuit’s Albert v. Oshkosh Decision to Dismiss ERISA Excess Fee Case Vedder Price
5
Oct
Guidance for Insolvency Practitioners: Financial Conduct Authority's Update on Regulated Firm Restructurings and Insolvencies Katten
5
Oct
Secretary Of State Creates Two New Revocation Forms Allen Matkins Leck Gamble Mallory & Natsis LLP
5
Oct
With $1.1 Billion Penalty Deal, SEC Joins DOJ in Firing Warning Shot at Financial Services Industry About Outdated Employee Communications Policies Robinson & Cole LLP
5
Oct
Beauty (and Value) In the Eye of the Beholder: What Is My Private Company Truly Worth Bradley Arant Boult Cummings LLP
5
Oct
Cost of Living Crisis: The Implications for Financial Crime Ankura
5
Oct
CFIUS Clearance: SK ecoplant Co. Ltd. and Bloom Energy Corporation Squire Patton Boggs (US) LLP
5
Oct
(UK) Supreme Court Confirms That Creditor Duty Engaged When Company is Bordering on Insolvency Squire Patton Boggs (US) LLP
4
Oct
Blockchain Game Developers and FinCEN: When are State Money Transmission Laws Applicable? Sheppard, Mullin, Richter & Hampton LLP
4
Oct
Kim Kardashian Ordered to Pay Over $1.26 Million for Securities Violation Arising Out of Crypto Endorsement Hunton Andrews Kurth
4
Oct
Cross-Market Manipulation Allegations: Economic Implications Cornerstone Research
4
Oct
FinCEN Issues Final Rule Requiring Private Companies to Report Ownership Bradley Arant Boult Cummings LLP
4
Oct
The SEC Focuses on Supply Chain Disruptions: COVID, Russia-Ukraine Conflict and More Foley & Lardner LLP
4
Oct
Features of the Hong Kong Airlines Restructuring Plan Katten
4
Oct
CFTC Head Urges Congressional Action on Crypto while SEC Leader Says Crypto Rulemaking is “Years Away” Proskauer Rose LLP
4
Oct
Polish Corporate Law Is About To Change – Holdings Law is Coming Into Force Squire Patton Boggs (US) LLP
4
Oct
Finance Lenders: It's Time To Pay Your Annual Assessment Allen Matkins Leck Gamble Mallory & Natsis LLP

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