October 3, 2022

Volume XII, Number 276

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October 03, 2022

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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
22
Aug
Building A Technological Moat: Strategic Use of Continuing Patent Applications Foley & Lardner LLP
22
Aug
Court Preliminarily Enjoins Florida’s “Stop Woke Act” Proskauer Rose LLP
22
Aug
Supreme Court's Decision In Famous Hale & Norcross Mining Case Allen Matkins Leck Gamble Mallory & Natsis LLP
19
Aug
BULLETIN CONCURRENCE IV McDermott Will & Emery
19
Aug
UK Serious Fraud Office's Annual Report 2021-2022: A Call for Investment Ankura
19
Aug
Alight Solutions Must Comply with Subpoena Issued by DOL in Cybersecurity Incident Investigation Robinson & Cole LLP
19
Aug
Food and Chemicals Unpacked: Got Milk? An Inside Look at the Infant Formula Shortage [PODCAST] Keller and Heckman LLP
19
Aug
Regulatory Scrutiny on the Rise of Bank and Crypto Company Dealings Greenberg Traurig, LLP
19
Aug
Former Portfolio Manager Convicted in Bond Fraud Trial ArentFox Schiff LLP
19
Aug
Investment Services Regulatory Update August 2022 Vedder Price
19
Aug
Fed Provides Crypto Guidance – Or Is At Least Willing To “Talk Crypto” Mintz
19
Aug
Climate Change Regulatory Update for US Insurers: August 2022 McDermott Will & Emery
19
Aug
Labor Unions and "Protected Concerted Activity:" What Private Employers – Unionized or NOT – Need to Know in 2022 Ward and Smith, P.A.
18
Aug
5 Keys to SEC Compliance Success Oberheiden P.C.
18
Aug
Digital Asset Policy: Aspirations, Reality and Regulation Sheppard, Mullin, Richter & Hampton LLP
18
Aug
IRS Targets Customers of Cryptocurrency Prime Dealer SFOX in Latest John Doe Summons Greenberg Traurig, LLP
18
Aug
SEC Hints at Path for Digital Assets to Morph Into Non-Securities Polsinelli PC
18
Aug
House Passed SECURE Notarization Act of 2022 Sheppard, Mullin, Richter & Hampton LLP
18
Aug
Foley Manufacturing Update Foley & Lardner LLP
18
Aug
Federal Reserve's New Master Account Guidelines Provide Transparent Path For Crypto Industry Katten

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