December 23, 2021

Volume XI, Number 357
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Securities, SEC, & Financial Institution Law News

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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
23
Dec
 Massachusetts Supreme Judicial Court Rules in Favor of Worker Fired for Rebutting Negative Performance Improvement Plan Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
23
Dec
 Governance Of AIFS: In Contrast with Corporate Governance Nishith Desai Associates
22
Dec
 SEC Adopts New Rules Requiring Universal Proxy Cards in Contested Director Elections Foley & Lardner LLP
22
Dec
 Key Takeaways | The Continuing Rise of The Spac: Where Does It Go from Here? [VIDEO] McDermott Will & Emery
22
Dec
 New York State Department of Labor Issues Proposed Rule for HERO Act Workplace Safety Committees Proskauer Rose LLP
22
Dec
 2022 California Employment Law Round-up Vedder Price
22
Dec
 Government Ramps Up Enforcement Efforts on COVID-19 Relief Fraud Bradley Arant Boult Cummings LLP
22
Dec
 OIG Report Highlights Focus on Fraud with Genetic Tests Dinsmore & Shohl LLP
22
Dec
 Massachusetts Adopts Mask Advisory in Response to Surging COVID-19 Cases Jackson Lewis P.C.
22
Dec
 Third-Party Releases Are Not Consistent with Bankruptcy Code: Creditors Can Still Maintain Direct Claims Roetzel & Andress LPA
22
Dec
 SEC Proposes Amendments to Rule 10b5-1 Plans and Increased Disclosure About Insider Trading Policies Katten
22
Dec
 OCC and FinCEN Issue $9 Million in Penalties for BSA-AML Violations Sheppard, Mullin, Richter & Hampton LLP
22
Dec
 Bad for Business? U.S. State Department Policies Restrict Foreign Investments in the United States Norris McLaughlin P.A.
22
Dec
 SEC Proposes Large Security-Based Swaps Position Reporting Rules Proskauer Rose LLP
22
Dec
 Two Recent Developments Promise to Shed Light on Accrual of BIPA Claims Vedder Price
22
Dec
 FTC Seeks to Move Beyond Notice and Consent to Restrict Data Collection and Use Proskauer Rose LLP
22
Dec
 SEC Proposes Amendments to the Requirements of Rule 10b5-1 Trading Plans Barnes & Thornburg LLP
22
Dec
 US Federal Labor Viewpoints – Week of December 13, 2021 Squire Patton Boggs (US) LLP
22
Dec
 Year in Review and a Look Ahead to 2022 – Employment Law This Week [VIDEO] Epstein Becker & Green, P.C.
22
Dec
 Important Reminder for M&A transactions (including Internal Corporate Restructurings!) from 4 January 2022, when the UK’s National Security and Investment Act enters into force Squire Patton Boggs (US) LLP

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For hourly updates on the latest in legal, legislation, government regulation, and corporate law news, be sure to follow the National Law Review Twitter feed, and sign up for complimentary e-news bulletins.