July 11, 2020

Volume X, Number 193

July 10, 2020

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July 09, 2020

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July 08, 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
11
Jul
Supreme Court Decides to Rule on FTC’s Disgorgement Authority Hinch Newman LLP
11
Jul
New York (More) Open for (Crypto) Business: NYDFS Proposes Important Changes to the BitLicense K&L Gates
10
Jul
FCA Updates Webpage on the Temporary Permissions Regime Katten
10
Jul
FinCEN Alerts Financial Institutions to COVID-19-Related Imposter Scams and Money Mule Schemes Greenberg Traurig, LLP
10
Jul
AML: Delegated Regulation on High-Risk Third Countries under MLD4 Published in the Official Journal of the EU Katten
10
Jul
FCA Speech on the UK’s Financial Regulatory System Following the Brexit Transition Period Katten
10
Jul
ESMA Updates Aspects of MiFIR and MiFID II Katten
10
Jul
SEC Adopts Amendments to Exemptive Applications Procedures Katten
10
Jul
SEC Raises Filing Threshold of Rule 17h Reporting Requirements for Broker-Dealers Katten
10
Jul
Biden’s Plan for Economic Recovery Post-COVID and Beyond Squire Patton Boggs (US) LLP
10
Jul
HM Treasury and Swiss Government Joint Statement on a Future Mutual Recognition Agreement Katten
10
Jul
Antitrust Agencies Issue Final New Guidelines for Vertical Mergers Bracewell LLP
10
Jul
SEC Issues Final Rules on Registered Investment Company and Business Development Company Acquisition and Financial Statement Disclosure Proskauer Rose LLP
10
Jul
FCA Statement on Extending SM&CR Implementation Periods Katten
10
Jul
NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirement Katten
10
Jul
The SEC Makes Sweeping Changes to The M&A Financial Statement and Pro Forma Requirements Proskauer Rose LLP
10
Jul
European Commission Publishes Communication on the Post-Brexit Transition Period Katten
10
Jul
FINRA Updates on July 10, 2020 Katten
10
Jul
When Online Applications become Your First Choice Godfrey & Kahn S.C.
10
Jul
Another Win for Michigan First – Credit Reporting was Accurate Squire Patton Boggs (US) LLP

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