February 19, 2019

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
18
Feb
Financial Services and the Marijuana Industry: the U.S. House Mulls Regulatory Reform for Financial Institutions and Cannabis-Related Businesses Ballard Spahr LLP
18
Feb
Commercial & Industrial Solar Due Diligence Review Manual for Tax Equity Transactions Foley & Lardner LLP
18
Feb
“Stand-Alone” REALLY Does Mean Stand-Alone - Ninth Circuit Court of Appeals Interprets the FCRA Foley & Lardner LLP
18
Feb
For Cause Removal Must Be For Cause K&L Gates
18
Feb
I’m a small DC scheme… get me out of here Squire Patton Boggs (US) LLP
18
Feb
Fourth Circuit Compels Arbitration Over “Gateway” Issues Of Arbitrability Carlton Fields
18
Feb
Security Token Offerings: Old Wine in a New Bottle? Squire Patton Boggs (US) LLP
17
Feb
A Guide to Estate Planning Involving Digital Assets PracticePanther
15
Feb
Ninth Circuit Re-affirms Fair Credit Reporting Act’s Strict Disclosure Standards Jackson Lewis P.C.
15
Feb
ESMA Publishes List of Thresholds Below Which an EU Prospectus Is Not Required Katten Muchin Rosenman LLP
15
Feb
CFPB Publishes 2019 Final Lists of Rural and Rural or Underserved Counties Ballard Spahr LLP
15
Feb
ESAs Publish Final Report on Amendments to the PRIIPs Key Information Document Katten Muchin Rosenman LLP
15
Feb
FCA Publishes Policy Statement on Further Asset Management Market Study Remedies Katten Muchin Rosenman LLP
15
Feb
CFTC: Exam Policies and Rule Amendment ICE Futures Filing Katten Muchin Rosenman LLP
15
Feb
Europe Increasingly Views United States as Faltering in Fight Against Money Laundering Ballard Spahr LLP
14
Feb
Trouble In Paradise: Florida Court Rules That Selling Bitcoin Is Money Transmission K&L Gates
14
Feb
Petition for Certiorari Asks Supreme Court to Clarify Whether the Federal Securities Laws Carry a Duty to Update Mintz
14
Feb
CFPB Clarifies Coverage of “Disclosure Sandbox” Proposal; Consumer Groups Comment on Proposed Revisions to No-Action Letter Policy and Creation of New “Product Sandbox” Ballard Spahr LLP
14
Feb
First Circuit Rules That “Incorporation by Reference” of Collateral Description in UCC Financing Statements May Not Perfect Lien Mintz
14
Feb
White House Issues Executive Order on Artificial Intelligence Ballard Spahr LLP

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