September 30, 2022

Volume XII, Number 273

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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
30
Oct
Altered Ego: New Ninth Circuit Opinion Overrules Previously Well-Settled Law Regarding Exclusive Standing Of Bankruptcy Trustees To Pursue General Claims On Behalf Of The Estate Sheppard, Mullin, Richter & Hampton LLP
29
Oct
Are You Ready For the Cloud? Baker Donelson Bearman Caldwell & Berkowitz, PC
28
Oct
How Much is That Startup in the Window. Really. Realistically Valuing a Start Up. Michael Best & Friedrich LLP
28
Oct
New Accounting Rules on the Horizon for Leases Much Shelist, P.C.
28
Oct
UPDATE: The Luxembourg Protocol to the Convention on International Interests in Mobile Equipment on Matters Specific to Railway Rolling Stock Vedder Price
27
Oct
SEC Proposes “Family Office” Exemption Under Dodd-Frank Hunton Andrews Kurth
26
Oct
Time to Get Ready for Say-On-Pay as SEC Releases Proposed Rules Sheppard, Mullin, Richter & Hampton LLP
26
Oct
What Does a Surface Transportation Board (STB) Filing Tell You? Vedder Price
25
Oct
SEC Proposes Enhanced Short-Term Borrowing Disclosure Rules Hunton Andrews Kurth
25
Oct
Delaware Supreme Court Requires Credible Evidence of a "Proper Purpose" to Review a Corporation's Books and Records Sheppard, Mullin, Richter & Hampton LLP
25
Oct
Florida Supreme Court Says No To Charging Order Protection For Single Member LLCs Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
24
Oct
SEC Issues Interpretive Guidance Regarding Liquidity and Capital Resources Disclosures Hunton Andrews Kurth
24
Oct
How Much is That Startup in the Window? -- Figuring Out How Much A Startup is Worth. Michael Best & Friedrich LLP
23
Oct
SEC Stays Proxy Access Rules Hunton Andrews Kurth
23
Oct
Back to the Future with Super Angels Michael Best & Friedrich LLP
22
Oct
Q&A: Security Information and Event Management -SIEM Risk and Insurance Management Society, Inc. (RIMS)
22
Oct
FERC Introduces Tougher Rules on Credit Practices in Organized Electric Markets Bracewell LLP
22
Oct
Public Statements about Pricing Changes May Create Antitrust Litigation Risk Hunton Andrews Kurth
19
Oct
An Overview of the Hedge Fund Industry and What’s Coming Next for Hedge Funds Suffolk University Law School
16
Oct
SEC's Interpretive MC&A Guidance on Liquidity and Capital Resources and Proposed New Rules on Short-Term Borrowing Disclosure Sheppard, Mullin, Richter & Hampton LLP

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