September 18, 2021

Volume XI, Number 261

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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
18
Sep
Iowa Supreme Court Examines Private Sector Drug-Free Workplaces Statute Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
17
Sep
Unintended Consequences of Wyden's Proposal to Change Tax Treatment for Mutual Funds and ETFs K&L Gates
17
Sep
The Proposed New EU Regulatory Regime for Artificial Intelligence (AI) Squire Patton Boggs (US) LLP
17
Sep
Enormous Changes to Estate Tax Planning May Be on the Horizon Much Shelist, P.C.
17
Sep
SEC Fines App Annie and Its CEO for $10 Million in Connection with Non-Anonymized Data Mintz
17
Sep
Turbulence Ahead for Boards: Boeing Chancery Court Ruling Increases Focus on Board Oversight of Compliance Programs Nelson Mullins
17
Sep
SEC Grants $11.5 Million in Awards to Two Whistleblowers Kohn, Kohn & Colapinto
17
Sep
Biden Administration’s COVID-19 Vaccine Initiative: Preparation. Not Panic. Barnes & Thornburg LLP
17
Sep
Quite the TCPA Trio: Three New ATDS Cases May Have Just Titled the TCPAWorld in Favor of Text Usage—Once and For All [PODCAST] Squire Patton Boggs (US) LLP
17
Sep
Environmental Disclosures: Considerations for Board Members Mintz
17
Sep
SAFE Banking Act of 2021: Where Are We on Cannabis Banking Change? Sheppard, Mullin, Richter & Hampton LLP
17
Sep
Labor Board General Counsel Mandates More Onerous Unfair Labor Practice Settlement Terms Jackson Lewis P.C.
17
Sep
Vermont Files Climate Change Lawsuit Against Major Oil Companies Mintz
17
Sep
Greater Diversity and Inclusion on Listed Company Boards: FCA Proposals Squire Patton Boggs (US) LLP
17
Sep
A Trademark by Any Other Name: Why the UGG Brand Left Some Australians Saying “Ugh” Norris McLaughlin P.A.
17
Sep
Congress Considering $700,000 OSHA Penalties Jackson Lewis P.C.
17
Sep
New York City to Require Food Delivery Services to Share Customer Data with Restaurants Hunton Andrews Kurth
17
Sep
5 Times a CRM will Save Your Behind Lawmatics
17
Sep
A (Partial) Phasing Out of the Current Prohibitions on Presenting UK Winding Up Petitions? Squire Patton Boggs (US) LLP
17
Sep
FDA Announces Food Traceability Challenge Winners Keller and Heckman LLP

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