April 20, 2021

Volume XI, Number 110

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April 19, 2021

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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
20
Apr
Video: CFO Dianna MacDonald of Powerhouse | Leaders Moving Business Forward McDermott Will & Emery
20
Apr
Mitigating Environmental, Social, and Corporate Governance (ESG) Risks Through D&O Insurance Hunton Andrews Kurth
20
Apr
NIA Publishes Position Paper on Changing Regulatory Landscape and Language for the Nanoscale Bergeson & Campbell, P.C.
20
Apr
IMMEX Highlights –REMINDER of Deadline for Filing the Annual Operations Report Foley & Lardner LLP
20
Apr
How to Choose the Perfect Name for Your Law Firm PracticePanther
20
Apr
Can Companies Find Refuge Against Congressional Investigations In The Post-Trump Era? K&L Gates
20
Apr
New Mexico Enacts Paid Sick Leave Law Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
20
Apr
Foley Weekly Automotive Report: April 20, 2021 Foley & Lardner LLP
20
Apr
All Good Subsidies Must Come to an End: ARP’s Expiration Notice Requirements Proskauer Rose LLP
20
Apr
Icy Hot: Texas Policyholders with Damage from Winter's Late-Season Freeze Must Also Prepare for Early-Season Hurricanes Bracewell LLP
20
Apr
Health Care Consolidation Legislation (AB 1132) No Longer Under Consideration in California Assembly Polsinelli PC
20
Apr
Is A Foreign Trust Required to File a Statement of Information? Allen Matkins Leck Gamble Mallory & Natsis LLP
20
Apr
Important Developments in LIBOR Transition Vedder Price
20
Apr
SEC Makes Moves to Step Up ESG Enforcement Polsinelli PC
20
Apr
Red Flags and SARs: The SEC Warns Broker/Dealers on AML Norris McLaughlin P.A.
20
Apr
Recent Announcements by the SEC and DOL Highlight Emphasis on ESG Investing Vedder Price
20
Apr
Be Careful Claiming Trees in the Middle of the Forest—and Be Sure You Win on a Dispositive Issue Finnegan
20
Apr
Business Hoping to Re-write an Agreement Based Upon Only One Side’s Mistake Needs Fraud-Like Activity Womble Bond Dickinson (US) LLP
20
Apr
SEC Requests Comments on Potential Money Market Fund Reform Options Vedder Price
20
Apr
India: Independent Directors: SEBI Tightens Framework Nishith Desai Associates

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