November 23, 2020

Volume X, Number 328

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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
18
Nov
Recent Developments in Data Privacy Laws Impacting U.S. Companies Miller Canfield
18
Nov
States Shut Down Jury Trials as COVID-19 Cases Spike Again Epstein Becker & Green, P.C.
18
Nov
Important Reminders as the Holiday Travel Season Approaches Mintz
18
Nov
The State of California and Many California Localities Are Set to Increase the Minimum Wage on January 1, 2021 – Make Sure You Are Ready Jackson Lewis P.C.
18
Nov
SEC Steps Up Enforcement for Unsuitable Sales of Complex ETPs Barnes & Thornburg LLP
18
Nov
Web-Based Businesses and Other "Remote Sellers" Beware – A Morass of Sales Tax Obligations Are Upon You Ward and Smith, P.A.
18
Nov
Good News For Global Fintechs: Proposed Amendment To Taiwan's Act Governing Electronic Payment Institutions Aims To Consolidate The Development Of Electronic Money And Payment Industries And Streamline The Provision Of Payments K&L Gates
18
Nov
CFPB Announces Consent Order with Debt Collector for Violations of FCRA Womble Bond Dickinson (US) LLP
18
Nov
COVID 19: UK Insolvency Reform – Crown Preference Returns From 1 December 2020 K&L Gates
18
Nov
Mexican Mandatory Technical Standards (Noms) Compliance on Imports, and Limitation on Steel Exports Foley & Lardner LLP
18
Nov
Ongoing Data Breach Dispute Underscores Emerging Legal Issues in Data Privacy Litigation Squire Patton Boggs (US) LLP
18
Nov
ONC Extends the Compliance Date for Information Blocking Rule McDermott Will & Emery
18
Nov
Light Is Both A Wave And Particle, But A Corporation And A Partnership Is A "Legal Impossibility" Allen Matkins Leck Gamble Mallory & Natsis LLP
18
Nov
SEC Adopts Rule Amendments Aimed at Expanding Access to Capital Sheppard, Mullin, Richter & Hampton LLP
17
Nov
India: Issues and Aspects Concerning Leverage by Category III AIFS Nishith Desai Associates
17
Nov
An ‘Affiliate’ of a Public Company Is Barred from Reorganizing Under the Bankruptcy Code’s New Subchapter V Robinson & Cole LLP
17
Nov
Court of Chancery Allows For Interim Distribution to Stockholders of Altaba, Inc., with Some Conditions K&L Gates
17
Nov
SEC Whistleblower Program Firing on all Cylinders Zuckerman Law
17
Nov
India: Term, Termination and Liquidation of an Alternative Investment Funds (Aif) Nishith Desai Associates
17
Nov
Will Banks Fund the Next Wave of Fintech? K&L Gates

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