January 21, 2020

January 21, 2020

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January 20, 2020

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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
21
Jan
Members of Congress Request FTC Investigation of Financial Data Company’s Collection and Privacy Practices Proskauer Rose LLP
21
Jan
At Long Last: FTC, DOJ Issue New Draft Vertical Merger Guidelines MoginRubin
21
Jan
2020 SEC Exam Priorities for Securities Industry Registrants Greenberg Traurig, LLP
21
Jan
Let Slip the Dogs of War…the SEC vs. Telegram Polsinelli PC
21
Jan
Negative Interest Rates x Negative Bond Yields = Positive Arbitrage? Squire Patton Boggs (US) LLP
21
Jan
The Intersection between the Sarbanes-Oxley and Dodd-Frank Acts: Qui Tam Whistleblower Rewards under SOX Kohn, Kohn & Colapinto
21
Jan
Weekly IRS Roundup January 13 – 17, 2020 McDermott Will & Emery
21
Jan
Business Judgement Rule Inapplicable if Director is Engaged in Self-Dealing, Unconscionable, or Fraudulent Activities/Decisions Stark & Stark
20
Jan
DOJ and FTC Propose Highly Anticipated Vertical Merger Guidelines Bracewell LLP
20
Jan
Second Circuit Affirms District Court’s Order as It Addressed Party’s Argument on Appeal Carlton Fields
20
Jan
It’s the Final Countdown: Being Prepared for Regulation Best Interest Winstead
19
Jan
Eliminate Investor Fraud Claims in 2020: Recent Texas Supreme Court Decision Shows the Way Winstead
18
Jan
Swap New Year’s Resolutions for Real Property with a 1031 Tax-Deferred Exchange Davis Kuelthau
18
Jan
Sweeping Changes to Rules for Employer-Sponsored Retirement Plans Barnes & Thornburg LLP
17
Jan
The Global Sustainable Finance Movement Bracewell LLP
17
Jan
SEC Issues Guidance on Confidential Treatment Applications and Intellectual Property and Technology Risks Katten
17
Jan
Amendments to FINRA New Issue Rules 5130 and 5131 Effective January 1, 2020 Katten
17
Jan
Demand for H-2B Visas Remains Higher than Supply Jackson Lewis P.C.
17
Jan
OCC and FDIC Release Proposed Revisions to Community Reinvestment Act Katten
17
Jan
SEC Announces Proposed Amendments to Modernize Auditor Independence Rules Katten

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