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June 04, 2020

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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
30
May
U.S. House Passes Bill to Provide Greater Flexibility for PPP Borrowers; Senate to Act Next Pierce Atwood LLP
29
May
SEC Issues Relief for Investment Companies in Response to COVID-19 Greenberg Traurig, LLP
29
May
UPDATE: U.S. House of Representatives Seeks to Amend the CARES Act to Provide Borrower’s Relief under the PPP Vedder Price
29
May
FINRA Shares Best Practices by Firms to Supervise in a Remote Work Environment Mintz
29
May
TALF 2.0 FAQs Round Two: Questions Answered K&L Gates
29
May
Advisers’ Fees Non-Deductible Where Management Decisions Made by Parent Company Proskauer Rose LLP
29
May
Federal Judge Confirms That Syndicated Loans Are Not Securities Womble Bond Dickinson (US) LLP
29
May
Main Street Lending Program — Federal Reserve Bank of Boston Issues Required Forms and Revised Guidance Jones Walker LLP
29
May
SEC Amends CAT NMS Plan Katten
29
May
LIBOR Transition Best Practices Statement Issued by ARRC Katten
29
May
Federal Reserve Bank of Boston Releases Main Street Lending Program Updated FAQs and Program Documentation Package Polsinelli PC
29
May
Commodity Futures Trading Commission Issues New Guidance for Civil Monetary Penalties Pierce Atwood LLP
29
May
House Passes Bill to Relax PPP Forgiveness Conditions Norris McLaughlin P.A.
29
May
COVID-19: Voluntary COVID-19 Disclosures -- Time to Share Your Approach With the Marketplace? K&L Gates
29
May
ESMA Clarifies Reporting of Repos With EU Central Banks Under MiFIR Katten
29
May
2020 Title Insurance Financial Survey/Overview Schiff Hardin LLP
29
May
Delaware Supreme Court Holds Federal Forum Provisions Valid Barnes & Thornburg LLP
29
May
Board Oversight of Human Capital Management No Longer a Nice-to-Have for Smaller Public Companies Mintz
29
May
ECB Publishes Bi-Annual Financial Stability Review Katten
29
May
Delaware Court of Chancery Strictly Construes Right to Discovery of Stockholders Represented By a Contractually Created “Shareholder Representative” Sheppard, Mullin, Richter & Hampton LLP

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