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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
29
May
SEC Staff Shows New Openness to Closed-End Fund Defenses K&L Gates
29
May
New Interim Final Rule on SBA Loan Review Procedures and Related Lender Responsibilities Regarding the Paycheck Protection Program Jones Walker LLP
29
May
CFIUS UPDATE ISSUE — Well I Do Declare: Mandatory Declarations Everywhere Sheppard, Mullin, Richter & Hampton LLP
29
May
FCA Proposes Part 3 of NFA’s Compliance Rules Regarding Disciplinary Process Amendments and Technical Amendments to Various Rules & Interpretive Notices Katten
29
May
FINRA Updates COVID-19 FAQs Katten
29
May
Preventing an ERISA Litigation Outbreak After COVID-19 – Part 2: Cybertheft of 401(k) Plan Distributions Faegre Drinker
29
May
When Do Price Gouging Laws Expire? Proskauer Rose LLP
29
May
FCA Continuing Professional Development During the COVID-19 Pandemic & Market Watch Newsletter Katten
29
May
Additional Guidance Issued on PPP Loan Forgiveness, Loan Review Procedures Pierce Atwood LLP
29
May
FINRA Amends Rules Related to Membership Application Program to Promote Payment of Arbitration Awards and Issues Regulatory Notice on Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products Katten
29
May
FINRA Requests Comments on Security-Based Swaps Katten
29
May
A Few Unanswered Questions About PPP Loan Forgiveness Ward and Smith, P.A.
29
May
LIBOR Transition – Issue 5 Greenberg Traurig, LLP
29
May
5 Ways that Experienced SEC Whistleblower Law Firms Can Effectively Advocate for Whistleblowers Zuckerman Law
29
May
SEC Simplifies Financial Disclosures for Acquisitions and Dispositions Womble Bond Dickinson (US) LLP
29
May
COVID-19: Affiliation & Aggregation Considerations for the Paycheck Protection Program and the Employee Retention Credit K&L Gates
29
May
Upper Tribunal decides that tax relief will only be available on monetary pension contributions Squire Patton Boggs (US) LLP
29
May
Get Closer With Your Contracts During the COVID-19 Pandemic Davis Kuelthau
29
May
Nevada Rejects Fiduciary Exception To Attorney-Client Privilege Allen Matkins Leck Gamble Mallory & Natsis LLP
29
May
Member Communications: Radio Ga Ga or Radio Silence Squire Patton Boggs (US) LLP

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