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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
5
Nov
OFSI Finds Its Teeth While OFAC Continues to Enforce Against Non-U.S. Corporates Greenberg Traurig, LLP
5
Nov
Upcoming/New CFIUS Filing: WSP Global Inc. and Ecology and Environment Inc. Squire Patton Boggs (US) LLP
5
Nov
Ninth Circuit Considers Rehearing in ERISA Arbitration Case McDermott Will & Emery
5
Nov
Basket Case: Article Name Limits Design Patent Claim McDermott Will & Emery
5
Nov
What to Expect for Your Company’s Data Compliance Requirements Womble Bond Dickinson (US) LLP
5
Nov
CFTC Whistleblower Program: What Are the Largest CFTC Whistleblower Awards? Zuckerman Law
5
Nov
2020 Update to the UK Stewardship Code Cadwalader, Wickersham & Taft LLP
5
Nov
Evidence of Copying Must Be Considered In Obviousness Analysis Foley & Lardner LLP
5
Nov
What Does The Governor's Proclamation Of Statewide Emergency Have To Do With the General Corporation Law? Allen Matkins Leck Gamble Mallory & Natsis LLP
5
Nov
Update on the ODR/ADR Platforms – Consumer Law Squire Patton Boggs (US) LLP
4
Nov
Second Circuit Affirms the Extraterritorial Discovery Reach of 28 U.S.C. § 1782 Mintz
4
Nov
Weekly IRS Roundup October 28 – November 1, 2019 McDermott Will & Emery
4
Nov
HR and HSR: Insider Purchases and Executive Compensation Can Require Antitrust Reporting Foley & Lardner LLP
4
Nov
CVA Challenges by Landlords – the Latest News Squire Patton Boggs (US) LLP
4
Nov
FDA Issues Proposed Rule to Implement a Laboratory Accreditation Program for Food Testing as Required by FSMA Keller and Heckman LLP
4
Nov
White House Orders Agencies To Offer Opinion Letters Or Does It? Allen Matkins Leck Gamble Mallory & Natsis LLP
4
Nov
Details about OFCCP’s Technical Assistance Guide for Educational Institutions Jackson Lewis P.C.
4
Nov
Openness and co-operation: FCA continues to drive home its Principles Squire Patton Boggs (US) LLP
2
Nov
SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods Katten Muchin Rosenman LLP
2
Nov
Another Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210 Katten Muchin Rosenman LLP

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