July 3, 2022

Volume XII, Number 184

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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
27
Jun
CFTC: Agency Prepared to Regulate Crypto Sheppard, Mullin, Richter & Hampton LLP
27
Jun
Subchapter V—Fourth Circuit Rules Not a Panacea for the Dishonest Debtor Nelson Mullins
27
Jun
Weekly Bankruptcy Alert: June 27, 2022 Pierce Atwood LLP
27
Jun
CFPB Aims to Simplify Rules and Guidance Sheppard, Mullin, Richter & Hampton LLP
27
Jun
CFPB Blogs About Need for Standardized Credit Reporting Sheppard, Mullin, Richter & Hampton LLP
27
Jun
OIG Issues Favorable Advisory Opinion for Physician-Owned Medical Device Company Sheppard, Mullin, Richter & Hampton LLP
27
Jun
Transatlantic Trade | US and Europe – June 27, 2022 Squire Patton Boggs (US) LLP
27
Jun
What You Need to Know About Automatic Renewals Foley & Lardner LLP
27
Jun
Serving the Public? SEC Charges Two Municipalities and Their Leaders with Bond Fraud Norris McLaughlin P.A.
27
Jun
“All the right notes, but not necessarily in the right order” – previewing your investigatory record-keeping requirements (UK) Squire Patton Boggs (US) LLP
27
Jun
DFPI Proposes Rules For Commercial Financial Products And Services Allen Matkins Leck Gamble Mallory & Natsis LLP
24
Jun
Preparing Corporate Messaging in the Wake of Dobbs Epstein Becker & Green, P.C.
24
Jun
Chicago Releases Model Sexual Harassment Prevention Policy, Poster for Employers Jackson Lewis P.C.
24
Jun
The Status of the Pending Appeal in Silver v. Treasury Department Miller Canfield
24
Jun
Your Equity Plan is a Contract – Follow It, or Else Foley & Lardner LLP
24
Jun
FTC Takes Action Limiting Overbroad M&A Non-Compete McDermott Will & Emery
24
Jun
5 FAQs with FINRA Defense Attorney Nick Oberheiden Oberheiden P.C.
24
Jun
New Era in UK Sanctions Enforcement: Introduction of Strict Liability Standard and OFSI Guidance Update Greenberg Traurig, LLP
24
Jun
US, UK Collaborate on Prize Challenges for Privacy-Enhancing Technologies Sheppard, Mullin, Richter & Hampton LLP
24
Jun
Supreme Court To Decide on DOJ Authority in FCA Suits ArentFox Schiff LLP

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