February 27, 2020

February 27, 2020

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February 26, 2020

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February 25, 2020

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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 which 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 news readers 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.

Date Title Organization
24
Feb
DOJ’s Latest FCPA Pressure Tactic: Charging Multiple Violations for Single Alleged Payment Scheme Robinson & Cole LLP
24
Feb
ESMA Has Its Say on Sustainable Finance Greenberg Traurig, LLP
24
Feb
Upcoming/New CFIUS Filing: ZF Friedrichshafen AG and WABCO Squire Patton Boggs (US) LLP
24
Feb
Industry setting its own standards – FCA backs code for unregulated activities Squire Patton Boggs (US) LLP
24
Feb
Bill Would Mandate That All LLCs Have A "Valid" EMail Address Allen Matkins Leck Gamble Mallory & Natsis LLP
21
Feb
European Commission Consults on MiFID II and MiFIR Review Katten
21
Feb
ESMA Consults on Third-Country Reporting Under MiFID II and MiFIR Katten
21
Feb
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI Winstead
21
Feb
FINRA Requests Comment on Enhancements to the Continuing Education Program for Securities Industry Professionals Katten
21
Feb
Second Circuit Holds Federal Banks Are Government Entities For FCA Purposes, Revives Qui Tam Suit Against Wells Fargo Dinsmore & Shohl LLP
21
Feb
SEC Proposes to Modernize Infrastructure for NMS Securities Market Data Katten
21
Feb
EU Commission’s “A European strategy for data” Includes Blockchain Shout-Out Proskauer Rose LLP
21
Feb
Bill Threatens Further Obfuscation Of California's Board Quota Law Allen Matkins Leck Gamble Mallory & Natsis LLP
21
Feb
New Zealand Creates New Whistleblower Program in the Financial Sector Kohn, Kohn & Colapinto
20
Feb
Undisclosed Post-Merger Compensation Plan for CEO Also Serving as Lead Merger Negotiator Found Insufficient to Rebut Business Judgement Rule and Insufficient to Show Board Acted in Bad Faith K&L Gates
20
Feb
FDIC and OCC Extend Comment Period for Proposed Changes to the Community Reinvestment Act Regulations Greenberg Traurig, LLP
20
Feb
EPA Releases Final Review Plan for Certain CBI Claims under TSCA Bergeson & Campbell, P.C.
20
Feb
Cayman Islands added to the EU blacklist of non-cooperative jurisdictions for tax purposes Proskauer Rose LLP
20
Feb
All in the Family: Prior Patent License Implicitly Grants License to Asserted Patent McDermott Will & Emery
20
Feb
Proposed changes to pension law that will challenge restructuring Squire Patton Boggs (US) LLP

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