October 27, 2021

Volume XI, Number 300

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October 27, 2021

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October 26, 2021

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October 25, 2021

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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
18
Oct
SEC Awards $40M to Two Whistleblowers: Lessons for Prospective SEC Whistleblowers Zuckerman Law
18
Oct
Does The Secretary Of State Misapprehend California's Board Quota Requirement? Allen Matkins Leck Gamble Mallory & Natsis LLP
17
Oct
Insurer-Paid Defense Costs: Can Insurers Get their Money Back? Barnes & Thornburg LLP
16
Oct
Interview With Greg Shantz, General Counsel of CertaPro Painters Ltd. Barnes & Thornburg LLP
16
Oct
CareDx v. Natera – Are Processing Steps Known to the Art Always “Conventional”? Schwegman, Lundberg & Woessner, P.A.
15
Oct
US Allowing Non-Essential Travel from Canada, Europe & Others: What Travelers Need to Know The National Law Review / The National Law Forum LLC
15
Oct
Review of Recent Whistleblower Developments: October 2021 Foley & Lardner LLP
15
Oct
Tokenization: Opportunity and Regulation, Finding a Balance Sheppard, Mullin, Richter & Hampton LLP
15
Oct
IDC Requests Additional Relief with Respect to Fund Board In-Person Voting Requirements Vedder Price
15
Oct
Section 48D: A New Tax Credit for Electric Transmission Property Foley & Lardner LLP
15
Oct
SEC Issues Over $40 Million in Whistleblower Awards Kohn, Kohn & Colapinto
15
Oct
Highlights from SEC Speaks 2021 Chair/Commissioner Remarks and Litigation and Enforcement Trends Vedder Price
15
Oct
The Pandemic vs. the Policyholder: COVID-19 and Business Interruption Coverage Claims Barnes & Thornburg LLP
15
Oct
Insurance Coverage for Emerging Contaminants - October 15, 2021 Barnes & Thornburg LLP
15
Oct
Out of Sight, But Not Out of Mind: Facts Outside the Pleadings and the Duty to Defend Barnes & Thornburg LLP
15
Oct
Insurers Owe No Coverage for COVID-19 Related Business Interruption Losses Under Commercial Property Policies Insuring “Direct Physical Loss of or Damage to Property” Sheppard, Mullin, Richter & Hampton LLP
15
Oct
Mind the Gap: Coverage Gaps Created by Commercial General Liability Policies Barnes & Thornburg LLP
15
Oct
SEC Requests Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices Vedder Price
15
Oct
2021 ESG Seminar, Session 2 [VIDEO] Bracewell LLP
15
Oct
Facebook Escapes Shareholder Derivative Suit as Court Questions Validity of Aronson and Finds Plaintiff Failed to Support Claims of Demand Futility K&L Gates

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