February 27, 2020

February 27, 2020

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February 26, 2020

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February 25, 2020

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February 24, 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
25
Feb
Best Interest Standard of Care for Advisors #26 Faegre Drinker
25
Feb
20 Tips for U.S. Virgin Islands Employers in 2020: Workers’ Compensation Insurance Update Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
25
Feb
Draft Vertical Merger Guidelines Aim To Increase Transparency And Consistency Barnes & Thornburg LLP
25
Feb
Best Interest Standard of Care for Advisors #25 Faegre Drinker
25
Feb
Could New Legislation on Insider Trading be on its Way? Faegre Drinker
25
Feb
Hidden Competition: A Common Form of Oppression Norris McLaughlin P.A.
25
Feb
Chancery Court Dismisses Derivative Action Alleging Caremark Claims K&L Gates
25
Feb
How the SECURE Act Affects Retirement and Estate Planning Schiff Hardin LLP
25
Feb
FinCEN Ruling Clarifies Currency Transaction Report (CTR) Filing Obligations of Financial Institutions Greenberg Traurig, LLP
25
Feb
How CCO Reasonable Prevention Procedures Can Help You Mitigate DAC6 Penalties McDermott Will & Emery
25
Feb
Court of Appeal Has "No Comment" On Trulia Allen Matkins Leck Gamble Mallory & Natsis LLP
24
Feb
The Business Judgment Rule: How Corporate Directors Can Sleep Better At Night Ward and Smith, P.A.
24
Feb
DOJ’s Latest FCPA Pressure Tactic: Charging Multiple Violations for Single Alleged Payment Scheme Robinson & Cole LLP
24
Feb
ESMA Has Its Say on Sustainable Finance Greenberg Traurig, LLP
24
Feb
Upcoming/New CFIUS Filing: ZF Friedrichshafen AG and WABCO Squire Patton Boggs (US) LLP
24
Feb
Industry setting its own standards – FCA backs code for unregulated activities Squire Patton Boggs (US) LLP
24
Feb
Bill Would Mandate That All LLCs Have A "Valid" EMail Address Allen Matkins Leck Gamble Mallory & Natsis LLP
21
Feb
European Commission Consults on MiFID II and MiFIR Review Katten
21
Feb
ESMA Consults on Third-Country Reporting Under MiFID II and MiFIR Katten
21
Feb
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI Winstead

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