June 20, 2018

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
Jun
Are You Ready for the New Prop 65 Warnings? What Commercial Property Owners and Businesses Need to Understand to Be Prepared Allen Matkins Leck Gamble Mallory & Natsis LLP
20
Jun
Beneficial Ownership Provision Stripped from Latest Draft of Counter Terrorism and Illicit Finance Act Ballard Spahr LLP
20
Jun
SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2 Proskauer Rose LLP
20
Jun
Division of Corporate Finance Releases Updated C&DIs Proskauer Rose LLP
20
Jun
Democratic Senators seek documents from Kraninger about her role in “zero-tolerance” policy Ballard Spahr LLP
20
Jun
Facebook establishes disclosure requirements for “political advertising” - includes issue advocacy and nonpartisan public policy communications Godfrey & Kahn S.C.
20
Jun
Department Of Business Oversight Fails In Bid To Deny The Right To A Jury Trial Allen Matkins Leck Gamble Mallory & Natsis LLP
20
Jun
Interesting Angles on the DOL’s Fiduciary Rule #95 Drinker Biddle & Reath LLP
19
Jun
Three Lessons from AT&T/Time Warner and Three Strategies for Future Vertical Transactions McDermott Will & Emery
19
Jun
Chancery Court Finds Request For Specific Enforcement Of A Partnership Interest Call Right Is Proved By Clear and Convincing Evidence K&L Gates
19
Jun
New Law Requires SEC to Expand Regulation A+ To Exchange Act Reporting Companies Sheppard, Mullin, Richter & Hampton LLP
19
Jun
Record High Awards and Supreme Court Decision Further Incent Potential Whistleblowers to Report Conduct to the SEC Jackson Lewis P.C.
19
Jun
New Beneficial Owner Threshold Eases VC Fundraising Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
19
Jun
Can I report financial fraud and receive an SEC whistleblower award? Zuckerman Law
19
Jun
UK trade union representative unfairly dismissed despite unlawful misuse of confidential information. Really? Squire Patton Boggs (US) LLP
19
Jun
Do Limited Liability Corporations Exist In California Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
19
Jun
Research Reports Say Risks to Smartphone Security aren't Phoney K&L Gates
19
Jun
Planning for a Catastrophe Jones Walker LLP
19
Jun
FinCEN Issues Advisory on Human Rights Abuses Enabled by Corrupt PEPs and Their Financial Facilitators Ballard Spahr LLP
18
Jun
President Trump’s expected nomination of Kathy Kraninger as CFPB Director extends Mick Mulvaney’s Acting Director tenure Ballard Spahr LLP

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