July 13, 2020

Volume X, Number 195

July 13, 2020

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July 10, 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
30
Apr
Successor Liability in an Asset Sale: Court Holds Purchaser Liable for Seller’s Delinquent Contributions to a Multiemployer Plan McDermott Will & Emery
29
Apr
Two Recent New York Tax Decisions Reaffirm the Need to Make Proper Sales Tax Bulk Sales Filings Greenberg Traurig, LLP
29
Apr
Oil and Gas Fraud Working Group to Focus on Energy Markets Bracewell LLP
28
Apr
FERC Issues $30 Million Penalty for Alleged Violations of Anti-Manipulation Rule Morgan, Lewis & Bockius LLP
28
Apr
CFTC & Fed Propose Margin Rules Under Dodd-Frank: Banks To Be Barred from Accepting Non Cash Collateral Bracewell LLP
27
Apr
TOUSA III: The Secured Lenders Take the Lead! Bracewell LLP
26
Apr
Increasing the Board’s Risk Intelligence Risk and Insurance Management Society, Inc. (RIMS)
26
Apr
Lenders Taking Title by Foreclosure or Deed in Lieu: The Advantages of Obtaining an Owner’s Title Insurance Policy Poyner Spruill LLP
25
Apr
SEC Proposes Rules for Compensation Committees and Compensation Advisers Hunton Andrews Kurth
24
Apr
The Ministry of Justice Issues Long-Awaited Guidance On The U.K. Bribery Act Sheppard, Mullin, Richter & Hampton LLP
23
Apr
New York Court Rules Parties to International Arbitration May Attach New York Assets as Security Even Without Personal Jurisdiction McDermott Will & Emery
23
Apr
From Attestation Reviews To Examinations: The GSA OIG Expands The Scope Of Its Pre-Award Audits Sheppard, Mullin, Richter & Hampton LLP
23
Apr
FTC and CFTC to Share Confidential Information, Increases Investigation Risks McDermott Will & Emery
23
Apr
Purchaser May be Liable for Predecessor’s Unpaid Union Trust Fund Contributions Williams Kastner
23
Apr
Objects In SBA's Mirror Are Smaller Than They Appear: A Summary Of SBA's Proposed Rule To Increase Small Business Size Standards Sheppard, Mullin, Richter & Hampton LLP
22
Apr
Texas Supreme Court: A Liability Insurer’s Duty to Indemnify May Exist Even Though the Duty to Defend May Not Initially Attach Morgan, Lewis & Bockius LLP
22
Apr
Foreign Financial Institutions: Get Ready for New Tax Compliance Obligations Bracewell LLP
22
Apr
Breach of Fiduciary Duty in the Context of Insolvency: Can Individual Creditors Seek Recovery? Much Shelist, P.C.
21
Apr
Terminations For Convenience And Creedence Clearwater Revival: "Bad Moon Rising" Sheppard, Mullin, Richter & Hampton LLP
20
Apr
Arbitration and Mediation Clauses: Helpful Tools for Managing International Disputes Much Shelist, P.C.

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