Financial Institutions: Banking, Compliance, Debt

The Financial institutions and banking sectors are highly regulated in the US and throughout the world. The National Law Review addresses legal issues, compliance concerns, financial regulatory schemes, broker-deals, insolvency and restructuring, and structured transaction negotiations. Both in the national and international realm, financial institutions are highly relied upon for financing, loans, and business deals. Because of this, the Federal Trade Commission, and agencies like the Federal Financial Institutions Examination Council (FFIEC) highly regulate the industry, and transactions which unfold on a daily basis.

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, block chain 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 highly covered on the site.

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.

International banking and financial institutions news are 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.

Date	Title	Organization
24 Nov	First-Out, Last-Out: Still Trending?	McDermott Will & Emery
23 Nov	Escheatment: The States’ Anticipated Cash Cow	Polsinelli PC
23 Nov	OCC Proposes ‘Fair Access’ Rule – Potential Implications for ESG Analysis	Greenberg Traurig, LLP
23 Nov	SEC Adopts Rules to Facilitate Electronic Signatures on Edgar Filings	K&L Gates
23 Nov	Price Gouging Weekly Round Up - November 23, 2020	Proskauer Rose LLP
23 Nov	Recent State Fiduciary Duty Developments: Alabama and Rhode Island Issue Regulations	Faegre Drinker
23 Nov	Weekly IRS Roundup November 16 – November 20, 2020	McDermott Will & Emery
23 Nov	Good News for Fintechs: Taiwan Announces Plans to Streamline Payments Regulations	K&L Gates
23 Nov	FCA confirms new timeline for consultation on duty of care for regulated firms	Squire Patton Boggs (US) LLP
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	Financial Industry Regulatory Authority Arbitration of Employment Disputes	Jackson Lewis P.C.
20 Nov	COVID-19: IRS Issues Guidance on Forgiven PPP Loans; Congress Reacts	Pierce Atwood LLP
20 Nov	Securities Exchange Board of India (SEBI) Introduces New AIF Investment Committee Regulations	Nishith Desai Associates
20 Nov	CFTC Unanimously Approves Final Rule Amending SEF Requirements	Katten
20 Nov	Regulatory Capital – UK Authorities Jointly Publish Statement on New UK Prudential Rules	Katten
20 Nov	SEC Division of Corporation Finance Releases Financial Reporting Manual Updates	Katten
20 Nov	SEC Amends Exempt Offering Framework	McDermott Will & Emery
20 Nov	FINRA Files Proposed Rule Change to Address Firms With History of Misconduct	Katten
20 Nov	OCIE Report Uncovers Repeated Compliance Issues At Advisers' Branch Offices	Mintz
19 Nov	SEC Adopts Final Rules Improving and Harmonizing the Exempt Offering Framework	Jones Walker LLP
19 Nov	Federal Court Deals Another Victory To Lenders in PPP Litigation	Jones Walker LLP
19 Nov	Fair-Lending Enforcement Under the Biden Administration — the Return of Disparate Impact	Jones Walker LLP
19 Nov	Recent SEC Actions Easing Capital Raising Barriers for Smaller Issuers	Varnum LLP
19 Nov	New OTS Report Recommends Changes to UK’s Capital Gains Tax Regime	Proskauer Rose LLP
19 Nov	SEC Adopts Rule Changes to Promote Capital Investment and Harmonize Private Placement Framework	K&L Gates
19 Nov	SEC Adopts New Rule Governing Funds’ Use of Derivative	Vedder Price
19 Nov	No Steak, No Wine? OIG Cautions Against Physician Speaker Programs	Polsinelli PC
19 Nov	SEC Issues $900,000 Award to Whistleblower Who Reported Fraud Occurring Overseas	Kohn, Kohn & Colapinto
19 Nov	A Simple Introduction to ISDA’s IBOR Fallbacks Supplement and Protocol	Vedder Price
19 Nov	SEC Adopts Rules to Allow the Use of Electronic Signatures	Mintz
19 Nov	Credential Stuffing: Cyber Intrusions Into Client Accounts of Broker/Dealers and Investment Advisors	Norris McLaughlin P.A.
19 Nov	Denied! Federal Court Allows FCRA Claims to Survive Motion to Dismiss	Squire Patton Boggs (US) LLP
19 Nov	Public Consultation Underway for Consumer Credit Reforms (AUS)	K&L Gates
18 Nov	Can’t Have It Both Ways: Court Grants Grupo México’s 12(B)(2) Motion to Dismiss for Lack of Personal Jurisdiction	K&L Gates
18 Nov	Connecticut Paid FMLA: What Employers Need to Know Now	Jackson Lewis P.C.
18 Nov	IRS Answers Questions on the SECURE Act’s Birth and Adoption Distributions for Retirement Plans	Foley & Lardner LLP
18 Nov	Department of Labor Finalizes Rule Adopting Amendments to the “Investment Duties” Regulation	Cadwalader, Wickersham & Taft LLP
18 Nov	Independent Schools and PPP Loans: Are You In Compliance With Title IX?	Robinson & Cole LLP
18 Nov	India: AAR Applies the ‘look Through’ Approach – Denies Treaty Relief to a Mauritian Entity on Transfer of Indian Shares	Nishith Desai Associates
18 Nov	SEC Adopts Rules to Enhance and Improve Exempt Offering Framework	Polsinelli PC
18 Nov	UK Financial Services Regulators Publish Joint Statement Relating to Timing for Implementation of the UK’s Investment Firms Prudential Regime	Proskauer Rose LLP
18 Nov	Out-of-Court Restructuring Alternatives in the EU, Germany and the US	McDermott Will & Emery