December 2, 2020

Volume X, Number 337

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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
23
Nov
How To Fix A Defective Meeting of Shareholders Allen Matkins Leck Gamble Mallory & Natsis LLP
23
Nov
FCA confirms new timeline for consultation on duty of care for regulated firms Squire Patton Boggs (US) LLP
21
Nov
Executive Summary: SEC Enforcement Activity: Public Companies and Subsidiaries Cornerstone Research
21
Nov
CFTC Extends Relief for SEFs From Certain Block Trade Requirements Katten
21
Nov
IRS Releases New Guidance on the Deduction of PPP Expenses Wiggin and Dana LLP
20
Nov
CFTC Extends No-Action Relief to SEFs From Certain Audit Trail Requirements Related to Post-Execution Allocation Information Katten
20
Nov
A Test Costs What? Pricing and Reimbursing COVID-19 Tests Proskauer Rose LLP
20
Nov
IRS Launches Another Misguided Missile at Paycheck Protection Program Loan Recipients Faegre Drinker
20
Nov
CFTC Extends Temporary Swap Data Reporting Relief for Certain International Swap Dealers and Major Swap Participants Katten
20
Nov
SEC’s Division of Corporation Finance Issues Updated C&DI Regarding Equity Line Financings Katten
20
Nov
SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways for Banks and Advisers K&L Gates
20
Nov
CFTC Unanimously Approves Final Rule for Granting Exemptions From DCO Registration Katten
20
Nov
India: Liberalized Regime for Business Outsourcing Services Nishith Desai Associates
20
Nov
Financial Industry Regulatory Authority Arbitration of Employment Disputes Jackson Lewis P.C.
20
Nov
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings Katten
20
Nov
COVID-19: IRS Issues Guidance on Forgiven PPP Loans; Congress Reacts Pierce Atwood LLP
20
Nov
ISS Issues Its 2021 Proxy Season Updates Katten
20
Nov
In EDTex, the Fallout Continues McDermott Will & Emery
20
Nov
Securities Exchange Board of India (SEBI) Introduces New AIF Investment Committee Regulations Nishith Desai Associates
20
Nov
Maintaining Workplace Civility in an Era of Heightened Divide Davis|Kuelthau, s.c.

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