December 6, 2021

Volume XI, Number 340

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December 03, 2021

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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
9
Apr
Before You Hire That Online Reputation Manager, Consider Your Legal Alternatives Sheppard, Mullin, Richter & Hampton LLP
9
Apr
Start Up Companies --- Grant Money: When “Free” is not “Free” Michael Best & Friedrich LLP
8
Apr
United States Patent Reform Act Michael Best & Friedrich LLP
8
Apr
Southern District of New York Judge Applies Morrison to Dismiss Federal Securities Claims Brought by U.S. Investors Against the Royal Bank of Scotland Vedder Price
8
Apr
New Jersey Announces Second Offshore Voluntary Compliance Initiative Greenberg Traurig, LLP
7
Apr
New ‘Pay to Play’ Rules for Companies Doing Business With Los Angeles Greenberg Traurig, LLP
7
Apr
"Tax Amnesty" Is Still An Option: IRS Offers A "Second Chance" To Taxpayers With Undeclared Foreign Accounts And Holdings Sills Cummis & Gross P.C.
7
Apr
Foreign Corrupt Practices Act Trends Vedder Price
7
Apr
Recently Passed New York State Budget Consolidates Banking and Insurance Departments into Department of Financial Services Greenberg Traurig, LLP
6
Apr
In Re TOUSA: District Court Reverses Bankruptcy Court's Order Requiring Lenders To Disgorge $480 Million As Fraudulent Transfer Sheppard, Mullin, Richter & Hampton LLP
6
Apr
Maybe You Shouldn’t Build An APP For That Duo Consulting
6
Apr
SEC Aggressively Targets Insider Trading and Expert Networks Vedder Price
5
Apr
Are You A Foreign Company With A Relationship To A New York Company? It May Be Your Agent And Provide A Basis For Jurisdiction Sheppard, Mullin, Richter & Hampton LLP
5
Apr
Supreme Court Determines Materiality Standard for Adverse Event Reports Vedder Price
4
Apr
E-discovery since Zubulake - Litigation Holds Dinsmore & Shohl LLP
4
Apr
Janus Capital Group v. First Derivative Traders: Supreme Court to Decide Key Questions Regarding Secondary Actor Liability Vedder Price
3
Apr
Is a Broad Arbitration Clause Still Effective After Granite Rock? Dinsmore & Shohl LLP
3
Apr
Second Circuit Affirms the Importance of Adequately Pleading Loss Causation in Securities Fraud Claims Vedder Price
2
Apr
SEC Continues to Regulate and Claw Back Incentive-Based Compensation Vedder Price
31
Mar
Pharmaceutical and Other Companies Beware: New Supreme Court Decision Weighs in on Adverse Event Reports and Potential Liability Under Federal Securities Laws Squire Patton Boggs (US) LLP

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