May 27, 2022

Volume XII, Number 147

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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
10
May
Series: Types of Industrial Espionage Squire Patton Boggs (US) LLP
10
May
Put Option Enforced: Conflict with Indian Exchange Control Laws Not a Ground for Setting Aside the Award in Singapore Nishith Desai Associates
10
May
Board Dialogue - Ep. 4: Addressing Current Social and Economic Issues [PODCAST] McDermott Will & Emery
10
May
FINRA Facts and Trends Bracewell LLP
9
May
SEC Brings First Major ESG Enforcement Action Bracewell LLP
9
May
Nonbank Financial Companies Now Covered By Consumer Laws Barnes & Thornburg LLP
9
May
FERC Updates Voluntary Gas Price Reporting Policy Steptoe & Johnson PLLC
9
May
New Hurdle for Employers: Potential Revival of Joy Silk Card-Check Recognition Steptoe & Johnson PLLC
9
May
Mandatory Employer Meetings Now the Target of NLRB General Counsel’s Focus Steptoe & Johnson PLLC
9
May
Creditor Not Entitled to Post-Sale Discovery to Attempt to Amend Sale Proceeds Distribution Nelson Mullins
9
May
Void vs. Voidable: The Distinction That Can Make or Break a Tortious Interference Claim in Light of the Great Resignation Sheppard, Mullin, Richter & Hampton LLP
9
May
Will the Retail Apocalypse Return? ArentFox Schiff LLP
9
May
Shorthanded: Labor Board Faces Challenges In Handling Influx of Cases Barnes & Thornburg LLP
9
May
California Governor Orders DFPI To Initiate Enforcement Actions Allen Matkins Leck Gamble Mallory & Natsis LLP
9
May
ESG: Equality and Diversity in Corporate India - Time to Walk the Talk Nishith Desai Associates
9
May
Climate Change Disputes Series (I) - An Overview Nishith Desai Associates
9
May
Georgia Passes Historic Mortgage Licensing Law Bradley Arant Boult Cummings LLP
9
May
Getting to Net Zero: Lessons from Butler-Sloss v the Charity Commissioners & the Attorney General for Pension Schemes Squire Patton Boggs (US) LLP
7
May
Payment to Non-Resident for Banner Advertisement Not Taxable in India Nishith Desai Associates
7
May
SEC Division of Investment Management Director William Birdthistle Provides Remarks at ICI Investment Management Conference Vedder Price

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