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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
Sep
Second Circuit Sends Back Incoherent TCPA Arbitration Award Decision Squire Patton Boggs (US) LLP
17
Sep
Hart-Scott-Rodino Annual Report for Fiscal Year 2018: Decreases in Second Requests but Increased Likelihood of Challenged Deal Where Second Request Issued Cadwalader, Wickersham & Taft LLP
17
Sep
Part 24 of “The Restricting Covenant” Series: Choice of Law and Covenants Not to Compete Drinker Biddle & Reath LLP
17
Sep
FinTech and Regulation: BitBlog Weekly Update Polsinelli PC
17
Sep
PBGC’s Multiemployer Insurance Program Faces Insolvency, While Single-Employer Program Improves McDermott Will & Emery
17
Sep
Illinois Enacts New Trust Code: What Fiduciaries Need To Know McDermott Will & Emery
17
Sep
Applicable Federal Rates and Code Section 7520 Rate for September 2019 – Downward Trend Continues Greenberg Traurig, LLP
17
Sep
Court Concludes That Bankruptcy Discharge Does Not Affect Arbitration Clause Carlton Fields
17
Sep
European Banking Authority Publishes Question and Answer Relating to Originator Risk Retention Holders in Securitisations Cadwalader, Wickersham & Taft LLP
17
Sep
Retailers Not Eligible for 100% Leasehold Improvement Write-Off Due to Legislative Glitch Greenberg Traurig, LLP
17
Sep
FCA Voices Concerns About “Epidemic” Levels Of Fraud In The UK Squire Patton Boggs (US) LLP
17
Sep
The Internal Revenue Service Is Expanding the 2020 Compliance Assurance Process McDermott Will & Emery
16
Sep
Health Care MarketTrends | September 2019, Issue 2 Foley & Lardner LLP
16
Sep
CCPA Amendments Updated, Finalized, and Moving on to Governor Newsom Jackson Lewis P.C.
16
Sep
SEC Changes Its Approach to the No-Action Request Process for Excluding Shareholder Proposals under Rule 14a-8 Jones Walker LLP
16
Sep
Veil-Piercing Risks for Private Equity Managers Highlighted in Recent Court Decision Proskauer Rose LLP
16
Sep
LLCs And Corporations - Another Judicial Mash-UP Allen Matkins Leck Gamble Mallory & Natsis LLP
15
Sep
Creating a Board of Directors: Key Considerations for Startup Companies Mintz
15
Sep
German Government Publishes Proposed Law for Proprietary Trading Firms Katten Muchin Rosenman LLP
13
Sep
FCA Provides Updated Information on SM&CR Implementation Katten Muchin Rosenman LLP

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