July 5, 2022

Volume XII, Number 186

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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
10
Jun
New SEC Rule Mandates Electronic Filing of Form 144S and “Glossy” Annual Reports McDermott Will & Emery
10
Jun
The UK’s OFSI provides guidance on strict liability sanctions breach penalties Squire Patton Boggs (US) LLP
10
Jun
Investment Adviser’s Enforcement Proceeding Results in Mutual Fund Industry Disqualification Vedder Price
10
Jun
Let Me In: Wyoming Special Purpose Bank Sues FED for Access to Payments System K&L Gates
10
Jun
SEBI Settlement Order - Research Analysts Not to Provide Model Portfolio Products Nishith Desai Associates
10
Jun
SEC Enforcement Division to Increase Size of Crypto Assets and Cyber Unit Vedder Price
10
Jun
FINRA Requests Comment on Sales Practices for Complex Products—and the ICI Pushes Back Vedder Price
10
Jun
SEC’s ESG Proposal Includes Proposed Reporting Requirement for All Index Funds—Whether ESG-Focused or Not Vedder Price
10
Jun
SEC Proposes Rule and Form Amendments to Enhance Disclosures by Advisers and Funds About ESG Investment Practices Vedder Price
10
Jun
SEC Proposes Amendments to Fund Names Rule Vedder Price
10
Jun
New Law Limits Broad Form Lien Waivers in Construction Projects Ward and Smith, P.A.
10
Jun
Former OpenSea Employee Charged with Wire Fraud and Money Laundering in First Ever “Digital Asset Insider Trading” Scheme Polsinelli PC
10
Jun
Briefing Regarding FCA Circuit Split Continues Before The Supreme Court ArentFox Schiff LLP
10
Jun
Trend in Focus: Continuation Funds with Indian Considerations Nishith Desai Associates
10
Jun
Where is Technology Taking Us? Womble Bond Dickinson (US) LLP
10
Jun
What It’s Really Like Working at a Law Firm PracticePanther
10
Jun
OAL Approves DFPI Commercial Financing Disclosure Rules - But Who Got Stuck With The Check? Allen Matkins Leck Gamble Mallory & Natsis LLP
10
Jun
FCA Calls For Sanctions Evasion Reporting K&L Gates
10
Jun
Due Process No Bar To Alter Ego Action Allen Matkins Leck Gamble Mallory & Natsis LLP
10
Jun
Divided Second Circuit Decides Long-Awaited Braille Gift Card Appeals, Affirming Dismissals Based on Standing Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

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