April 23, 2018

Securities, SEC, & Financial Institution Law News

The National Law Review features the latest news and legal developments affecting all participants in the financial services industry. We cover news on debt finance, U.S. futures exchanges, broker-dealers, insolvency and restructuring, financial services technology (“FinTech”), and investment management, as well as regulatory rules issued by the Commodities and Futures Exchange Commission (“CFTC”), the Federal Reserve, and Financial Industry Regulatory Authority, Inc. (“FINRA”). Analysis includes compliance under finance laws including the Dodd Frank Wall Street Reform and Consumer Protection Act, the Federal Reserve Act, Gramm-Leach-Bliley Act, Fair Credit Reporting Act, Equal Credit Opportunity Act and more.

Along with Financial Services, National Law Review also has comprehensive coverage involving securities regulation and enforcement actions by the Securities and Exchange Commission (“SEC”).  We feature regular articles on the SEC, and how to best respond to enforcement actions and reporting requirements and how to comply with new regulations and changes in securities law and litigation.  Additionally, the National Law Review has comprehensive coverage of whistleblower regulations and news about whistleblower awards.

Date Title Organization
23
Apr
Bill to Require Issuance of Guidance by CFPB Introduced in House Ballard Spahr LLP
23
Apr
EU Court’s Analysis of “Competitive Disadvantage” in Rare Price Discrimination Case Covington & Burling LLP
23
Apr
Senate Votes to Roll Back Auto Industry Lending Guidance from Consumer Financial Protection Bureau Foley & Lardner LLP
23
Apr
Bridging the Week: April 16 to 20 and April 23, 2018 (Actual Delivery, Manipulative or Deceptive Devices; NY AG Sweep; ATS Breakdown) [VIDEO] Katten Muchin Rosenman LLP
23
Apr
The Memberless LLC And Diversity Allen Matkins Leck Gamble Mallory & Natsis LLP
22
Apr
Proskauer’s Study Examines 2017 IPOs Proskauer Rose LLP
22
Apr
EBA Publishes Report Regarding ITS on Reporting for Resolution Plans Under the EU BRRD Katten Muchin Rosenman LLP
21
Apr
Second Annual Survey on Trends in Private Credit Markets Proskauer Rose LLP
21
Apr
ECON Publishes Proposed Amendments to Prudential Supervision of Investment Firms Directive Katten Muchin Rosenman LLP
20
Apr
CFTC’s Division of Swap Dealer and Intermediary Oversight Extends Exemptive Relief From CFTC Regulations 4.7 and 4.2 Requirement to Prepare Financial Statements in Accordance With US GAAP Katten Muchin Rosenman LLP
20
Apr
FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee Katten Muchin Rosenman LLP
20
Apr
SEC Proposes Best Interest Standard for Broker-Dealers Katten Muchin Rosenman LLP
20
Apr
European Parliament Adopts Fifth Money Laundering Directive Katten Muchin Rosenman LLP
20
Apr
Austrac, ATO, and Asic Discuss Their Regulatory Views on ICO's K&L Gates
19
Apr
Expediting Bid Protests Bilzin Sumberg
19
Apr
Cybersecurity Three Minute Check In Series: Does the GDPR Apply to a US Business? [VIDEO] Murtha Cullina
19
Apr
SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues Proskauer Rose LLP
19
Apr
Failure to follow deemed consent procedure did not invalidate appointment Squire Patton Boggs (US) LLP
19
Apr
New York Attorney General Launches Fact-Finding Mission into Virtual Currency Exchanges K&L Gates
19
Apr
German Federal Civil Court strengthens Leasing Receivables Securitisation, Factoring and Asset Based Lending in the Lessor’s Insolvency Squire Patton Boggs (US) LLP

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