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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
27
Jun
Is Your Investment Adviser’s Arbitration Clause Enforceable? Cosgrove Law, L.L.C.
26
Jun
Finding and Fixing Corporate Misconduct - How Layoffs Have Impacted Compliance Issues and Corporate Culture Risk and Insurance Management Society, Inc. (RIMS)
25
Jun
Insolvent Financial Institutions and The D'Oench Duhme Doctrine: The FDIC'S Avoidance Power Dinsmore & Shohl LLP
22
Jun
Third Circuit Rules that the Issue of Whether the Arbitration Agreement Contained An Explicit Class Action Waiver is Within the Discretion of the District Court to Decide Goldberg Segalla LLP
21
Jun
D&O Coverage for Government Investigations Risk and Insurance Management Society, Inc. (RIMS)
20
Jun
Changes on the Horizon –Taxation of Carried Interests Holme Roberts & Owen LLP
20
Jun
Using Letters of Credit as Collateral For Insurance Contracts Risk and Insurance Management Society, Inc. (RIMS)
18
Jun
Wrongful Foreclosure – Verbal Assurance that Foreclosure Sale Will be Postponed May be Enforceable - Deliberate and Effective External and Internal Communication is Critical Holme Roberts & Owen LLP
17
Jun
FTC Announces that it is Delaying Enforcement of the Red Flags Rule until December 31, 2010 Much Shelist, P.C.
17
Jun
AIG: A Timeline to the End of the SEC Probe Risk and Insurance Management Society, Inc. (RIMS)
15
Jun
California Court Of Appeal Applies Three-Year Limitation Under Delaware Law To Claim Against Dissolved Delaware Corporation Sheppard, Mullin, Richter & Hampton LLP
14
Jun
Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense Sheppard, Mullin, Richter & Hampton LLP
14
Jun
DOJ and FTC Issue Proposed Revisions to Horizontal Merger Guidelines Dinsmore & Shohl LLP
14
Jun
Sixth Circuit Reinforces Limits on Class Action Securities Litigation Dinsmore & Shohl LLP
14
Jun
House To Consider Bill Eliminating Capital Gains Taxes On Small Business Investments As Early As This Week Davis Wright Tremaine LLP
11
Jun
Delaware Chancery Court Dismisses Derivative Plaintiff's Section 220 Books And Records Action Sheppard, Mullin, Richter & Hampton LLP
7
Jun
Insurance and Good Corporate Governance: A Modest Proposal Much Shelist, P.C.
5
Jun
Filthy Lucre: Confronting the Risks of Money Laundering Risk and Insurance Management Society, Inc. (RIMS)
3
Jun
KEEPING YOUR MONEY IN YOUR POCKET: Some Basics of Bankruptcy Preference Actions Kane Russell Coleman & Logan PC
2
Jun
Use of Credit Checks as a Hiring Screen Draws Questions Dinsmore & Shohl LLP

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