May 28, 2023

Volume XIII, Number 148

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May 25, 2023

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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 that 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 newsreaders 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.

For hourly updates on the latest news about Wall Street, banking, financial, securities/SEC regulations, laws, and legislation be sure to follow our Financial, Banking, and Securities Law Twitter feed, and sign up for complimentary e-news bulletins.

Date Title Organization
27
May
Supreme Court Holds Forfeiture of Tax Sale Surplus Proceeds is a Governmental Taking Nelson Mullins
26
May
Part I: With New DAO Law on the Books, Utah Joins Race with Wyoming and Tennessee to Become U.S. “Crypto Capital” Proskauer Rose LLP
26
May
TNFD Publishes Final Draft Disclosure Framework Cadwalader, Wickersham & Taft LLP
26
May
How Many Offices Must A California LLC Have? Allen Matkins Leck Gamble Mallory & Natsis LLP
26
May
10,000 Lakes and . . . No Noncompetes? Minnesota Passes Law Banning Non-Competes Effective July 1, 2023 Epstein Becker & Green, P.C.
26
May
Colorado Approves DIDMCA Opt-Out, Raising Concerns for Consumer Credit Access Sheppard, Mullin, Richter & Hampton LLP
26
May
Challenging OSHA Violations at Occupational Safety and Health Review Commission Is Worth the Effort Jackson Lewis P.C.
26
May
NLRB General Counsel Seeks Quicker Compliance with Board Orders Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
26
May
Health Apps and Consumer Privacy Update: Federal Trade Commission Proposes Amendments to the Health Breach Notification Rule Epstein Becker & Green, P.C.
26
May
Another Vulnerability for Cybersecurity of Retirement Plan Data: Auto-Portability Mintz
26
May
Surgeon To Pay Up to $43 Million for FCA Fraud ArentFox Schiff LLP
26
May
The Philippines Consults on Draft Consent and Private Identification Cards Guidelines Squire Patton Boggs (US) LLP
26
May
Florida Expands Ban on Vaccination, Testing and Masking Mandates Proskauer Rose LLP
26
May
Texas Legislature Passes Bill Creating Specialized Business Trial Courts: 12 Things You Need To Know Now Foley & Lardner LLP
26
May
Michigan PFAS Drinking Water Challenge Briefing Complete CMBG3 Law
25
May
Report Underscores Challenges of Attracting Capital for Renewable Energy Development in the ASEAN Region Cadwalader, Wickersham & Taft LLP
25
May
(UK) Pensions – A Pot to Play for? Squire Patton Boggs (US) LLP
25
May
EU’s Global Gateway: €18 billion of Financing Announced for Climate Action and Clean Energy Cadwalader, Wickersham & Taft LLP
25
May
Publications Settlement Reached After 200,000 Affected by HIPAA Breach Dinsmore & Shohl LLP
25
May
The EGG Debate Heats Up: State AGs Investigating Asset Manager Involvement in ESG Initiatives and Related Proxy Voting K&L Gates

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