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
12
Oct
CFTC Brings Enforcement Action against Digital Exchange and Natural Person Controller Suggesting Native Cryptoasset is a Commodity and Not a Security Katten
12
Oct
ICE Clear EU To Accept EUAs as Collateral Katten
12
Oct
Partnership Disclaimers Are Called Into Question Allen Matkins Leck Gamble Mallory & Natsis LLP
11
Oct
OFAC Issues Sanctions Compliance Guidance for Instant Payment Systems Sheppard, Mullin, Richter & Hampton LLP
11
Oct
SEC Steps Up Enforcement With Respect to Municipal Bond Offerings ArentFox Schiff LLP
11
Oct
Lawsuit Challenging Taxation of Cryptocurrency Tokens Generated Through Staking Dismissed as Moot Mintz
11
Oct
OFAC Announces Hefty Settlement with Virtual Currency Exchange / Hosted Wallet Services Provider Sheppard, Mullin, Richter & Hampton LLP
11
Oct
European Commission presents report to the European Parliament and Council on the functioning of the EU Securitisation Regulation Cadwalader, Wickersham & Taft LLP
11
Oct
Biden-Harris Administration and EPA Announce Delivery of Historic Water Infrastructure Funding from the Bipartisan Infrastructure Law to Illinois U.S. Environmental Protection Agency
11
Oct
Foley Automotive Report October 11, 2022 Foley & Lardner LLP
11
Oct
The Position of Directors of Financially Distressed Companies K&L Gates
11
Oct
Corporate Transparency Act Expands Anti-Money Laundering Burden Beyond Banks to Business Customers (Part 6) Jones Walker LLP
11
Oct
Australia's Review of Its Groundbreaking Commonwealth Modern Slavery Act 2018 and What It Means for Your Business K&L Gates
11
Oct
Does California Regulate Finfluencing? Allen Matkins Leck Gamble Mallory & Natsis LLP
10
Oct
UK Supreme Court Confirms Creditor Duty in Zone of Insolvency: BTI v Sequana Katten
10
Oct
SEC Reopens Comment Period on Proposed Data Breach Disclosure and Cybersecurity Governance Rules Squire Patton Boggs (US) LLP
10
Oct
Sequana – What You Need to Know Cadwalader, Wickersham & Taft LLP
10
Oct
European Supervisory Authorities Publishes 2023 Work Programme Cadwalader, Wickersham & Taft LLP
10
Oct
“Promise Them Anything, But Give Them” – NOTHING, SEC Sanctions Adviser to Private Funds Norris McLaughlin P.A.
10
Oct
Third Circuit Rejects DOJ’s Broad “Commingling” Theory of Money Laundering Concealment Epstein Becker & Green, P.C.

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