March 28, 2023

Volume XIII, Number 87

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March 27, 2023

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Securities, SEC, & Financial Institution Law News

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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.

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Date Title Organization
16
Mar
FTC Seeks to Block Deal Between Top Mortgage Loan Technology Providers Sheppard, Mullin, Richter & Hampton LLP
16
Mar
CFPB Report Details Financial Profiles of BNPL Borrowers Sheppard, Mullin, Richter & Hampton LLP
16
Mar
CFPB and NLRB Enter Information Sharing Agreement Sheppard, Mullin, Richter & Hampton LLP
16
Mar
Delaware Court Finds Corporate Officers Have Duty of Oversight and Sexual Harassment Can Be a Breach of the Duty of Loyalty K&L Gates
16
Mar
California DFPI Publishes New Guidance on Remote Work by MLOs Sheppard, Mullin, Richter & Hampton LLP
16
Mar
DraftKings NFTs Class Action – An Attempted Dapper Labs Sequel? ArentFox Schiff LLP
16
Mar
Ripple Effect of Recent Bank Insolvencies on Real Estate Foley & Lardner LLP
16
Mar
Bank Turmoil Brings Increased Risk of Litigation and Investigations Hunton Andrews Kurth
16
Mar
The 2023 Banking Contagion: Questions & Answers for Insured and Uninsured Depositors, Other Affected Parties Greenberg Traurig, LLP
16
Mar
CFPB Issues Report on Unlawful ‘Junk Fees’ Uncovered in Deposit Accounts, Multiple Loan Servicing Markets Greenberg Traurig, LLP
16
Mar
UK Budget 2023 – Key Tax Measures Cadwalader, Wickersham & Taft LLP
16
Mar
SEC Commissioner Uyeda Suggests that ESG Disclosures Contribute to Decline in IPOs Mintz
16
Mar
District Courts Reach Opposite Conclusions on 401(k) Excessive Fee Claims Proskauer Rose LLP
16
Mar
President Biden Threatens First Veto Over Congressional Nullification of DOL Regulation Enabling Consideration of ESG Factors Mintz
16
Mar
SINGAPORE: Financial Institution Guidance to Enhance Vigilance Over Money Laundering and Terrorism Financing K&L Gates
16
Mar
Client Alert: Silicon Valley Bank Takeover: What You Need to Know Sherin and Lodgen LLP
16
Mar
Nota Bene Episode 161: Africa Update: What the Rapid Evolution of the Commercial and Enforcement Environments Mean for International Business, with Andreas Stargard of Primerio [PODCAST] Sheppard, Mullin, Richter & Hampton LLP
16
Mar
Upcoming changes to the company share options plan regime Proskauer Rose LLP
15
Mar
SEC Continues Focus on ESG Issues in 2023 Examination Priorities Mintz
15
Mar
When It Comes to Selling Your Business: What You Don’t Know Can Cost You (A Lot!) Bradley Arant Boult Cummings LLP

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