May 22, 2022

Volume XII, Number 142

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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
13
May
DOJ and SEC Bring Charges Against Executive in Alleged $62 Million Global Crypto Investment Fraud Scheme ArentFox Schiff LLP
13
May
California’s Draft Regulations Spotlight Artificial Intelligence Tools’ Potential to Lead to Discrimination Claims Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
13
May
EEOC, DOJ Warn Artificial Intelligence in Employment Decisions Might Violate ADA Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
13
May
Why Privity Matters Allen Matkins Leck Gamble Mallory & Natsis LLP
13
May
Treatment of Contingent Claims Under IBC: Issues and Solutions Nishith Desai Associates
12
May
Trademark Infringement in the Metaverse: Nike Sues Online Resale Platform Alleging Infringing Use of Logo in StockX NFT Katten
12
May
Are You Ready for the UK Plastic Packaging Tax? Squire Patton Boggs (US) LLP
12
May
DOL Stance on Cryptocurrency in 401(k) Plans Becomes a Political Football Bracewell LLP
12
May
Diversity & Inclusion Reporting for Listed Companies Squire Patton Boggs (US) LLP
12
May
FTC Goes on Penalty Offense, Warns of Hefty Fines for Deceptive Advertising Katten
12
May
ICO Lawyer – 5 Things to Consider Before Hiring Oberheiden P.C.
12
May
Worker Status Questions – Bringing the Outside In (UK) Squire Patton Boggs (US) LLP
12
May
SEC’s Crypto Assets and Cyber Unit Expands Its Reach to Cryptomining Nelson Mullins
12
May
Are Directors Joint Clients? Allen Matkins Leck Gamble Mallory & Natsis LLP
11
May
California Governor Issues Executive Order Fostering Use and Regulation of Blockchain and Crypto Greenberg Traurig, LLP
11
May
From Cryptic to (Some) Clarity: English Law and Policy Rising to the Challenge of Cryptoassets (Part 2) Proskauer Rose LLP
11
May
UPDATE: UK Announces Expansion of Trade Sanctions Against Russia and Belarus Greenberg Traurig, LLP
11
May
Congress Should Vote or Get off the Pot Bradley Arant Boult Cummings LLP
11
May
Katten Financial Markets and Funds Quick Take: May 2022 Katten
11
May
CFPB Advisory Opinion Clarifies that ECOA Applies Throughout Credit Lifecycle Greenberg Traurig, LLP

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