November 28, 2022

Volume XII, Number 332

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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
13
Oct
Corporate Criminal Liability in England & Wales: Former Lord Chancellor Signals that Reform Is on the Way McDermott Will & Emery
13
Oct
CFTC Sanctions Registered CTA for Operating Unregistered SEF Cadwalader, Wickersham & Taft LLP
13
Oct
A Review of Comments to the Proposed Changes to Federal DBE Program Strassburger McKenna Gutnick & Gefsky
13
Oct
The Inflation Reduction Act's EV Tax Credits: Supply Chain Challenges and Bridge Solutions Under US Trade Rules ArentFox Schiff LLP
13
Oct
Statutory Declarations when Appointing UK Administrators – what happens if the remote-swear guidance is not followed? Squire Patton Boggs (US) LLP
13
Oct
All Your Ether (Are) Belong To US: SEC Claims Jurisdiction Over Entire Ethereum (ETH) Network ArentFox Schiff LLP
13
Oct
The 411 on Employment Background Checks in Stock and Asset Transactions McDermott Will & Emery
13
Oct
FINCEN Publishes Final Rule on Beneficial Ownership Requirements - A Critical Step Towards Heightened Transparency in U.S. Financial System Mintz
13
Oct
Australian Litigation Funding Regulations Abandoned and Further Reforms Proposed Squire Patton Boggs (US) LLP
13
Oct
Supply Chain Disruptions Necessitate Better Contracting Practices: Use of AI to Add Efficiency Foley & Lardner LLP
13
Oct
Lessons from an Elder Abuse Story with a (Relatively) Happy Ending Norris McLaughlin P.A.
13
Oct
Potential Delay of SEC Climate Disclosures Rule Due to Reopening of Comments Period to Address Technical Issue Mintz
12
Oct
Here Comes the Sun: Treasury and IRS Request Input on Solar and Other Energy Incentives Under the Inflation Reduction Act ArentFox Schiff LLP
12
Oct
United States: As the Worm Turns: SEC Provides Alternative Recordkeeping Requirements for Brokers K&L Gates
12
Oct
SEC Awards $825,000 to Whistleblower Kohn, Kohn & Colapinto
12
Oct
Five Key Issues of Importance in Preparing EB-5 Source of Funds for Vietnamese Investors Greenberg Traurig, LLP
12
Oct
What You Need to Know about the Corporate Transparency Act’s Final Rule Foley & Lardner LLP
12
Oct
New Laws Increase Oversight of New York State’s Minority- and Women-Owned Business Enterprise (MWBE) Program, Reinforce NYC’s Commitment to MWBE Procurement Program Greenberg Traurig, LLP
12
Oct
FinCEN Issues Final Rules & Regulations for CTA ArentFox Schiff LLP
12
Oct
Resolving Crypto Disputes Through International Arbitration Ankura

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