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
17
Nov
Slowdown in the DMV: District of Columbia, Maryland, and Virginia Tighten Business Restrictions as COVID-19 Cases Climb Epstein Becker & Green, P.C.
17
Nov
LIBOR Is Fading Away Norris McLaughlin P.A.
17
Nov
How to Report a Doctor for Malpractice in Pennsylvania Console and Associates, P.C.
17
Nov
The Pandemic Is Far from Over, but I-9 “Flexibility” Might Be Jones Walker LLP
17
Nov
SEC Commissioner Considers Future ESG Investment Regulation Mintz
17
Nov
New BIPA Lawsuit Confirms that Employers Will Continue to “Face” Litigation Regarding the Collection of Employees’ Biometric Information Squire Patton Boggs (US) LLP
17
Nov
Revised Michigan COVID-19 Health Order Re-institutes Business, Gathering Restrictions Foley & Lardner LLP
17
Nov
The NBA is back! (It wasn’t gone for long) Squire Patton Boggs (US) LLP
17
Nov
Michigan COVID-19 Workplace Updates: Three Week “Pause” and Office-Based Enforcement Epstein Becker & Green, P.C.
17
Nov
Court Holds that an Internal Complaint About a Potential HIPAA Violation is Protected Under New Hampshire Whistleblower Law Zuckerman Law
17
Nov
NASAA Urges No Liftoff For Finders Relief Allen Matkins Leck Gamble Mallory & Natsis LLP
17
Nov
California Pulls ‘Emergency Brake’ on Economic Reopening Greenberg Traurig, LLP
17
Nov
SEC Releases Financial Report Confirming the Unprecedented Success of its Whistleblower Program Kohn, Kohn & Colapinto
17
Nov
Money transfer for specific purpose – High Court ruling on Quistclose Trusts Squire Patton Boggs (US) LLP
16
Nov
Technology and Telecom Policy Greenberg Traurig, LLP
16
Nov
SEC Adopts Rule Amendments to Improve Exempt Offering Framework Sheppard, Mullin, Richter & Hampton LLP
16
Nov
SEC Adopts Amendments to “Accredited Investor” Definition Winstead
16
Nov
New Restrictions Under Michigan Epidemic Order to Take Effect Nov. 18 Varnum LLP
16
Nov
CFTC Adopts New Rules on Position Limits for Derivatives Katten
16
Nov
Price Gouging Weekly Round Up - November 16, 2020 Proskauer Rose LLP

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