October 22, 2021

Volume XI, Number 295

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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
11
Jan
Extension of 100% Gain Exclusion for Qualified Small Business Stock Sheppard, Mullin, Richter & Hampton LLP
10
Jan
New Jersey Courts Place Roadblocks On Lenders' Ability To Enforce Mortgage Documents Sills Cummis & Gross P.C.
10
Jan
Municipal Bond Offerings: Proposed SEC Rule Impacts Appointed Board Members Hunton Andrews Kurth
8
Jan
China to Solicit Public Opinions On Administration of Enterprise Annuity Funds Sheppard, Mullin, Richter & Hampton LLP
7
Jan
Betting on Catastrophes Risk and Insurance Management Society, Inc. (RIMS)
7
Jan
Preparing for the 2011 Proxy Season: What’s New Dinsmore & Shohl LLP
6
Jan
Recent Tax Bill Provides Incentives for Startup Community Michael Best & Friedrich LLP
4
Jan
The Ninth Circuit Rules that Foreign Documents Brought into the Country are Subject to Federal Grand Jury Demands Hunton Andrews Kurth
31
Dec
SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010 Sheppard, Mullin, Richter & Hampton LLP
29
Dec
Treasury Announces Standard Terms of Small Business Lending Fund Vedder Price
24
Dec
Tax Relief and Job Creation Act Becomes Law Dinsmore & Shohl LLP
24
Dec
China Updates Registration Rules for Representative Offices of Foreign Firms Sheppard, Mullin, Richter & Hampton LLP
22
Dec
Transferring Personally Identifiable Information in Bankruptcy: Beware the Debtor’s Privacy Policy Much Shelist, P.C.
22
Dec
Looking Ahead to 2011: Year End Employee Benefit Plan Compliance Items Dinsmore & Shohl LLP
21
Dec
Evaluating FOCI (Foreign Ownership, Control or Influence )In The Context Of An M&A Transaction Sheppard, Mullin, Richter & Hampton LLP
19
Dec
Fifth Circuit Update: Stanford Receiver's Temporary Injunction Affirmed Hunton Andrews Kurth
19
Dec
Corporate Malfeasance From Enron to Lehman - 10 Great Moments in Corporate Malfeasance. Risk and Insurance Management Society, Inc. (RIMS)
18
Dec
A Brief Look At United Nations Procurement: Going International ... Sort Of Sheppard, Mullin, Richter & Hampton LLP
17
Dec
Time for Corporations to Get Ready to Issue Annual ISO/ESPP Information Statements and File New Information Returns with Irs; Irs Releases New Forms and Instructions Sheppard, Mullin, Richter & Hampton LLP
17
Dec
T Minus 60 Days and Counting: CMS’s New Repayment Deadline Poyner Spruill LLP

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