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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
27
Sep
Revised JMLSG Sectoral Guidance Approved by HM Treasury Katten Muchin Rosenman LLP
27
Sep
Institutional Investor Advocacy Group Proposes Limits to Multi-Class Voting by Delaware Companies Katten Muchin Rosenman LLP
27
Sep
New York’s Department of Financial Services: the Self-Styled “Regulator of the Future” Sheppard, Mullin, Richter & Hampton LLP
27
Sep
New SEC Rule Expands “Test-the-Waters” to All Issuers Katten Muchin Rosenman LLP
27
Sep
BRAG Biobased Products Blog: September 27, 2019 Bergeson & Campbell, P.C.
27
Sep
FINRA Issues Regulatory Notice on Disclosure Innovations for Advertisements and Other Public Communications Katten Muchin Rosenman LLP
27
Sep
SEC Settles Charges of Auditor Independence Violations for $8 Million Drinker Biddle & Reath LLP
27
Sep
FCA Publishes Findings From Review of MiFID II Research Unbundling Rules Katten Muchin Rosenman LLP
27
Sep
FCA Updates Directions Under the Temporary Transitional Power Katten Muchin Rosenman LLP
27
Sep
Important Changes in Czech Corporate Law Introduced by the Proposed Amendment to the Czech Business Corporations Act Squire Patton Boggs (US) LLP
27
Sep
Proposed Regulations Alter the Scope of the Section 382 Loss Limitation Rules for Recognized Built-in Gains and Losses Bracewell LLP
27
Sep
SEC Adopts New ETF Rule Vedder Price
27
Sep
Issuing Stock Options Under an Equity Incentive Plan Mintz
27
Sep
California Assembly Bill 5 and the (Non-)Impact on the Financial Services Industry Stark & Stark
26
Sep
SAFE Banking Act Passes House, Extends Cannabis Safe Harbor Protections McDermott Will & Emery
26
Sep
Click2Gov Portal Compromised in Eight Cities Robinson & Cole LLP
26
Sep
Privacy Tip #209 – Security Tips for Online Banking Robinson & Cole LLP
26
Sep
Final Hardship Distribution Regulations, Part Two: Implementation Considerations Proskauer Rose LLP
26
Sep
Taxable Advance Refunding Bonds and the World’s Most Boring Ice Cream Cone Squire Patton Boggs (US) LLP
26
Sep
R.I.P. 2003 and 2008 Predictive Dialer Rulings: District Court Reverses TCPA ATDS Ruling—Sinks Final Nail into Coffin of Once Popular TCPA Argument Squire Patton Boggs (US) LLP

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