May 22, 2022

Volume XII, Number 142

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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
6
May
Bill in U.S. House Would Limit SEC’s Reach Over Crypto Exchanges Dinsmore & Shohl LLP
6
May
Hearing Aid Company Agrees To Pay $34.37 Million To Settle Claims That It Submitted False Claims to the Federal Employees Health Benefits Program ArentFox Schiff LLP
6
May
Governor Newsom Signs Blockchain Executive Order Sheppard, Mullin, Richter & Hampton LLP
6
May
Whistleblowers Take Note: SEC Nearly Doubles Cryptocurrency Enforcement Staff Kohn, Kohn & Colapinto
6
May
SEC Investigations Relating to Record Preservation Practices Likely to Continue Vedder Price
6
May
San Francisco, Los Angeles District Attorneys Suing Law Firm for Alleged Fraudulent ADA Title III Suits Jackson Lewis P.C.
6
May
NAIC Continues to Refine Multiyear Work Plan to Expand Scrutiny of Holding Company Act Filings McDermott Will & Emery
6
May
SEC Proposes Rules to Regulate Certain Market Participants as "Dealers" or "Government Securities Dealers" Vedder Price
6
May
SEC Chairman Gensler Re-Affirms Support for Mandatory Climate Disclosures Mintz
6
May
ESG: Blasting EVs Driven by a Moral Compass Nishith Desai Associates
6
May
SEC Issues Proposal for Enhanced and Standardized Climate-Related Disclosure Vedder Price
6
May
Antitrust M&A Snapshot | Q1 2022 McDermott Will & Emery
6
May
CFTC and SEC Perspectives on Cryptocurrency and Digital Assets – Volume I: A Jurisdictional Overview K&L Gates
6
May
SEC Proposed New Rules Relating to SPACs Vedder Price
6
May
Court Insists No Standing In LLC Derivative Actions Without Continuous Ownership Allen Matkins Leck Gamble Mallory & Natsis LLP
6
May
SEC ESG Task Force Charges First Company For ESG Fraud CMBG3 Law
6
May
Feds Giddy Up on FinTech: SEC Adds 20 Positions to Cryptocurrency Unit Nelson Mullins
6
May
SEC Issues Rule Proposal for Security-Based Swap Execution Facilities Vedder Price
6
May
Changes in the Employment Landscape – Episode 35 [PODCAST] IMS Consulting & Expert Services
6
May
GT Newsletter | Competition Currents | May 2022 Greenberg Traurig, LLP

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