Corporate, Financial, SEC, & Banking Law Updates

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.

Recent Corporate Law, Securities/SEC, & Financial Institution Law News

Custom text		Organization
Feb 4 2014	Second Circuit Holds Delaware Fiduciary Duty Law Preempted By Federal Interest In Fiscal Stability	Sheppard, Mullin, Richter & Hampton LLP
Feb 4 2014	Second Circuit Affirms Dismissal of Short-Swing Profit Claim Against Goldman Sachs Arising from Six-Month Call Options	Sheppard, Mullin, Richter & Hampton LLP
Feb 4 2014	Partially Participating Preferred: An Alternative to Participation Caps	Michael Best & Friedrich LLP
Feb 4 2014	Second Circuit Holds that Federal Common Law Prohibits Trading By Insiders of a Cayman Islands Corporation While In Possession of Material Nonpublic Information	Sheppard, Mullin, Richter & Hampton LLP
Feb 4 2014	Shareholders Bring Lawsuit Against the Company President	McBrayer, McGinnis, Leslie and Kirkland, PLLC
Feb 4 2014	Investor Voice May Rue Adoption Of Single Voting Standard	Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb 4 2014	Bureau of Industry and Security (BIS) Orders Company to Conduct External Audit in Settlement	Faegre Drinker
Feb 3 2014	On Closer Inspection, This CII (Council of Institutional Investors) “Best Practice” May Be Neither Good Nor Legal	Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb 2 2014	Shareholder Derivative Suit Dismissed for Failure to Show Demand Futility	Katten
Feb 2 2014	Delaware Decision Makes It Increasingly Difficult for Insurers to Evade Coverage for Dissolved Corporations	Gilbert LLP
Feb 2 2014	Federal Trade Commission (FTC) Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications	Katten
Feb 2 2014	This Plaintiff Dreamed Of Shares That Never Were	Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb 2 2014	A View from Amsterdam: Recent Developments in Implementing the Alternate Investment Fund Manager’s Directive	Greenberg Traurig, LLP
Feb 1 2014	Second Circuit Upholds Insider Trading Claim for Unregistered Securities	Katten
Feb 1 2014	Bilateral China / US Investment ‐ Is 2014 the Year?	Greenberg Traurig, LLP
Feb 1 2014	Commodity Futures Trading Commission (CFTC) Certifies Available-to-Trade Determinations	Katten
Feb 1 2014	A View from London: The UK Takeover Code ‐ Recent Changes	Greenberg Traurig, LLP
Jan 31 2014	SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule”	Katten
Jan 31 2014	Amendments to Delaware Limited Liability Company Act Confirm that Managing Members and Managers of Delaware Limited Liability Companies Owe Default Fiduciary Duties	Greenberg Traurig, LLP
Jan 31 2014	Maintaining Attorney‐Client Privilege in a Merger in the Wake of Great Hill Equity Partners IV, LP v. SIG Growth Equity Fund I, LLLP	Greenberg Traurig, LLP
Jan 31 2014	Delaware Court of Chancery Upholds the Facial Validity of Organic Exclusive Forum Provisions, But Future “As‐ Applied” Challenges Could be a Different Matter	Greenberg Traurig, LLP
Jan 31 2014	Delaware Supreme Court Holds That a Minority Stockholder Has No Common Law Right to a Conflict-Free Board Decision Regarding the Repurchase of Shares	Sheppard, Mullin, Richter & Hampton LLP
Jan 30 2014	Going South: What U.S. Companies Need to Know About The Foreign Corrupt Practices Act (FCPA) and Doing Business in Latin America	Barnes & Thornburg LLP
Jan 30 2014	Indonesian Government Imposes Export Ban on Nickel and Bauxite	McDermott Will & Emery
Jan 30 2014	I May Be Pettifogging, But I Have to Ask: Is It Time To Dump The Proxy And Give Shareholders A Ballot?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan 30 2014	Section 162(m): Actions that Should be Taken by March 31, 2014, and/or in this Year's Proxy to Avoid the $1,000,000 Deduction Limitation	Greenberg Traurig, LLP
Jan 29 2014	Uber Employees? Re: Independent Contractors	Mintz
Jan 28 2014	United States Supreme Court Holds That Non-U.S. Corporations Are Subject to General Personal Jurisdiction in U.S. States Only in States Where They Are “At Home”	Sheppard, Mullin, Richter & Hampton LLP

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