December 3, 2022

Volume XII, Number 337

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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
19
Apr
China Adopts National Security Review Regime and Provisional Implementing Regulations for Foreign-Funded M&A Greenberg Traurig, LLP
18
Apr
California Offers New Voluntary Compliance Initiative for Abusive Tax Avoidance Transactions and Offshore Financial Arrangements Greenberg Traurig, LLP
18
Apr
Data Shows Deutsche Bank Was Key patron of Questionable Mortgage Lenders - Senate Report Reveals More of Bank's Toxic Deals Center for Public Integrity
17
Apr
“Sunshine is the Best Disinfectant”: A Financial Advisory Update McDermott Will & Emery
16
Apr
To Avoid Assuming Fiduciary Duties, Mortgage Lenders Should Take Care to Avoid Acting as Mortgage Brokers Sheppard, Mullin, Richter & Hampton LLP
16
Apr
Final FBAR Regulations Offer Some Relief For Plan Sponsors, but Filing Obligations Remain McDermott Will & Emery
15
Apr
Sixth Circuit Reverses Dismissal of a Shareholder Derivative Action Based Upon the Lack of Independence of the Special Litigation Committee Sheppard, Mullin, Richter & Hampton LLP
15
Apr
Should Employees Joining a Start-up Make a “Section 83(b) Election” on Restricted Stock Awards? Michael Best & Friedrich LLP
15
Apr
Making Banks Pay for Madoff’s Fraud Risk and Insurance Management Society, Inc. (RIMS)
14
Apr
Bouncing Around the Federal Securities Laws Michael Best & Friedrich LLP
13
Apr
The “Wall Street Mind” and “Too Big to Fail” Risk and Insurance Management Society, Inc. (RIMS)
13
Apr
Cheaper…But Still Expensive Michael Best & Friedrich LLP
13
Apr
A Borrower May Not Bring An Action To Determine Whether The Owner Of A Mortgage Note Has Authorized A Nonjudicial Foreclosure Sheppard, Mullin, Richter & Hampton LLP
12
Apr
Starting Up the Start-Up: Approaching the Angel Financing Round Sheppard, Mullin, Richter & Hampton LLP
12
Apr
Three Things to Know About Dodd-Frank Risk and Insurance Management Society, Inc. (RIMS)
12
Apr
Buyer Beware - Car Dealers Adopt Outlawed Mortgage Tactics, New Consumer Agency Powerless Against Them Center for Public Integrity
11
Apr
Protecting Trade Secrets In A Post-WikiLeaks World Sheppard, Mullin, Richter & Hampton LLP
11
Apr
When Humans Beat Search Engines Duo Consulting
10
Apr
UK Bribery Act 2010: Corporate Hospitality - or When is a Beer a Bribe? Greenberg Traurig, LLP
9
Apr
Before You Hire That Online Reputation Manager, Consider Your Legal Alternatives Sheppard, Mullin, Richter & Hampton LLP

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