September 27, 2022

Volume XII, Number 270

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September 27, 2022

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September 26, 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
11
Aug
Connecticut Banking Commission Releases Advisory on Money Transmission Sheppard, Mullin, Richter & Hampton LLP
11
Aug
Regulators Remind Auto Industry of Servicemember Protections Sheppard, Mullin, Richter & Hampton LLP
11
Aug
Speeding Up the Process – New Deadlines and Ability to Fix Errors – Proposed Changes to Federal DBE Program Strassburger McKenna Gutnick & Gefsky
11
Aug
CFTC’s Historic Enforcement Action Impacting the Oil Industry & Related Derivatives ArentFox Schiff LLP
11
Aug
Hospital Price Transparency Rules: First Fines Issued McDermott Will & Emery
11
Aug
FCA Publishes Final Rules for Reform of the Appointed Representative Sector Greenberg Traurig, LLP
11
Aug
Colorado Employers—Get Ready for a Wave of New Laws Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
11
Aug
Why More Than One Commodity May Not Be Commodities Allen Matkins Leck Gamble Mallory & Natsis LLP
11
Aug
General Assemblies in Germany – Virtual or Physical? Squire Patton Boggs (US) LLP
10
Aug
CFIUS Clearance: Duddell Street Acquisition Corp. (U.S.); Maso Capital (Hong Kong SAR, China) and FiscalNote Holdings, Inc (U.S.) Squire Patton Boggs (US) LLP
10
Aug
The SEC’s Latest CCO Case and the Ongoing Need for a Framework Foley & Lardner LLP
10
Aug
New FCA Consumer Duty Confirmed and Explained Squire Patton Boggs (US) LLP
10
Aug
The Supreme Court Rules That § 1782 Does Not Apply to Private Arbitrations Sheppard, Mullin, Richter & Hampton LLP
9
Aug
Art Dealers, Other Non-Bank Entities Subject of New Bank Secrecy Act Amendment Barnes & Thornburg LLP
9
Aug
SEC Awards $16 Million to Two Whistleblowers Kohn, Kohn & Colapinto
9
Aug
First-of-a-Kind Crypto Insider Trading Prosecution: SEC-v-Wahi et al Action May Have Broad Implications Across the Digital Asset Space ArentFox Schiff LLP
9
Aug
It’s All About Context: CMA Imposes £1.5 Million on Lighting Brand for Creating an Unwelcoming Environment for Product Discounts K&L Gates
9
Aug
Litigation Minute: Cigna's Modifier 26 Reimbursement Policy K&L Gates
9
Aug
A Key Difference Between Corporate And LLC Buyout Rights That You May Have Missed Allen Matkins Leck Gamble Mallory & Natsis LLP
8
Aug
Statute of Limitations for PPP and EIDL Fraud Extended to Ten Years Sheppard, Mullin, Richter & Hampton LLP

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