October 15, 2019

October 15, 2019

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October 14, 2019

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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
4
Oct
ESMA Consults on MAR Katten Muchin Rosenman LLP
4
Oct
CFIUS Proposed Rules Target Critical Technology, Sensitive Personal Data and Real Estate Proskauer Rose LLP
4
Oct
How Companies Must Tackle the 4 M’s to Grow Through ‘No-Man’s Land’ Ward and Smith, P.A.
4
Oct
DBO Issues Guidance To Banks And Credit Unions Serving Cannabis Related Businesses Allen Matkins Leck Gamble Mallory & Natsis LLP
4
Oct
Common Mistakes That Lead To Big Customer Disputes Robinson & Cole LLP
4
Oct
Federal Court’s Approval of Settlement in Litigation Over Expenses Charged to Brokers Offers Guidance on Settlement of Parallel Class Actions Epstein Becker & Green, P.C.
3
Oct
Important Tool in Your Box: Spam Filter Robinson & Cole LLP
3
Oct
Modifications Under CCPA To Receipt of Consumer Requests Sheppard, Mullin, Richter & Hampton LLP
3
Oct
Third Circuit Holds that SLUSA Does Not Preclude Class Action Opt-Outs from Pursuing Individual Actions Sheppard, Mullin, Richter & Hampton LLP
3
Oct
Governor Signs Bill Authorizing Public Banks - What Could Possibly Go Wrong? Allen Matkins Leck Gamble Mallory & Natsis LLP
3
Oct
Small Business Reorganization Act of 2019 Goes into Effect February 2020 Jones Walker LLP
3
Oct
SEC Charges Two Advisers with Fiduciary Duty Breaches for Failing to Disclose Conflicts of Interest relating to the Receipt of Compensation from Client Investments in Mutual Funds Vedder Price
3
Oct
Make Capital Easy Again Jones Walker LLP
3
Oct
SEC Issues Proxy Voting Guidance Vedder Price
2
Oct
SEC Adopts Final Rule on “Test-the-Waters” Communications Proskauer Rose LLP
2
Oct
Best Interest Standard of Care for Advisors #12 Drinker Biddle & Reath LLP
2
Oct
OCIE Releases Risk Alert Relating to Principal Transaction and Agency Cross Trade Compliance Issues Vedder Price
2
Oct
SEC Staff Announces Rule 14a-8 No-Action Request Process Changes Vedder Price
2
Oct
SEC Staff Issues Guidance on Improving Fund Principal Risks Disclosure Vedder Price
2
Oct
SEC Passes Long-Awaited New Rule 6c-11 to Modernize Regulation of ETFs Greenberg Traurig, LLP

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