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June 04, 2020

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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
11
May
Delaware Chancery Court Finds Settlement Agreement Enforceable Despite Lacking Signature Katten
11
May
SEC to Return Escrowed EB-5 Investment Funds to Immigrant Investors of Intercontinental Regional Center Trust of Chicago Sheppard, Mullin, Richter & Hampton LLP
11
May
California Legislature Acts To Forestall Business Filings Götterdämmerung Allen Matkins Leck Gamble Mallory & Natsis LLP
11
May
How to Minimize Foreign Corrupt Practices Act (FCPA) Risk in Health Care Acquisitions Mintz
11
May
New IRS Guidance Takes Restrictive View of Material Participation by Non-Grantor Trusts Barnes & Thornburg LLP
11
May
U.S. Citizenship and Immigration Services (USCIS) EB-5 Engagement with Securities and Exchange Commission Sheppard, Mullin, Richter & Hampton LLP
10
May
Whistleblower’s Claims Against Former Employer Survive Summary Judgment Katten
10
May
SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute Katten
10
May
The Legal Challenge to the SEC’s Conflict Minerals Reporting Regulations Dickinson Wright PLLC
10
May
Quoted Companies Alliance (QCA) Revises UK Corporate Governance Code for Small and Mid-Size Quoted Companies Morgan, Lewis & Bockius LLP
10
May
An Exemption For Foreign Subsidiary Formation Under California Corporate Securities Law Allen Matkins Leck Gamble Mallory & Natsis LLP
9
May
Keeping Good Product Records: A Manufacturer’s Primer Varnum LLP
9
May
New Restrictions on Bank “Payday Loans” Dickinson Wright PLLC
9
May
Twitter: Little Statements with Big Consequences for Companies, cont. McBrayer, McGinnis, Leslie and Kirkland, PLLC
9
May
When Are A Franchisor's Financial Performance Representations Actionable? Armstrong Teasdale
9
May
Noncompliance with Continuing Disclosure Undertakings Creates Vacuum Where Other Public Statements by City Officials Held to 10b-5 Standard Hunton Andrews Kurth
9
May
Ontario Lottery and Gaming Corporation Selects Spielo G2 as its Vendor for IGaming Dickinson Wright PLLC
9
May
California Businesses Beware: California Supreme Court Expands the Fraud Exception of the Parol Evidence Rule Barnes & Thornburg LLP
8
May
Thoughts on Convertible Debt Valuation Caps Michael Best & Friedrich LLP
8
May
Persons Deemed Managing Directors in Fact in Germany Have Fiduciary Duties Under German Law McDermott Will & Emery

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