Financial, Securities & Banking

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 Securities, SEC, & Financial Institution Law News

Custom text		Organization Sort descending
Aug 24 2023	SBA Size Standards: Affiliation Based on Franchise and License Agreements
Sep 12 2016	Hensarling Chooses CHOICE; CFTC Moves Forward with Priorities as Nominees Pending Confirmation, Administration Outlines Approach to Correspondent Banking
May 31 2018	The Basel Committee and IOSCO Issue Criteria to Identify “Simple, Transparent and Comparable” Short-Term Securitisations
Oct 7 2020	Why Failing to File Your No-Change Affidavit Will Cause Your Business to Lose Disadvantaged Business Enterprise Certification
Jul 27 2015	Continued Focus on Dodd-Frank, Challenge to CFPB Moves Forward
Mar 10 2023	You Have 72 Hours: NCUA Finalizes New Cybersecurity Incident Reporting Rule for Federally Insured Credit Unions
Mar 18 2013	Update: Crane Decision is Overturned by The United States District Court for the Central District of Illinois
Oct 5 2015	Not So Fast My Friend – UAW Membership Rejects Tentative Agreement
May 2 2023	Weekly IRS Roundup April 24 – April 28, 2023
Feb 22 2016	Financial Services Lawmakers Set Agenda for 2016 and Look for Solution to Puerto Rico’s Debt Crisis; CFPB, SEC, OFR All Hold Meetings
Feb 29 2016	Tax-Writers Debate International Tax Reform, Inversions; OECD Releases “Inclusive” BEPS Framework
May 9 2016	Senate Banking Focuses on China, Iran; CFPB Takes on Mandatory Arbitration Clauses as Administration Focuses on Financial Transparency
May 8 2020	Family Law: Transferring Private Company Interest in Divorce—Going Beyond the Basics to Ensure Continued Success and Avoid Conflicts
Jun 22 2015	Fiduciary Rule Under Scrutiny, Appropriators Continue Targeting Dodd-Frank
Oct 14 2021	Texas Executive Order to Prohibit COVID-19 Vaccine Mandate
Oct 19 2023	You Can’t Do That! Errors DBE Certifying Agencies Make When Reviewing Interstate Applications
Apr 28 2021	Using Joint Assets to Fund Your New Company? Make Sure Spouse Renounces Funds if You Wish to Obtain Disadvantaged Business Enterprise (DBE) Certification
Jul 13 2015	Fed, CFPB Heads to Testify; SEC, CFTC to Hold Meetings
Dec 9 2019	All in the Family – Why Controlled Group Rules Matter
Jun 15 2017	USCIS Seeks Input on Revised EB-5 Capital At Risk Requirement
Nov 5 2020	Franchisor Wins Attorneys’ Fees and Costs in Termination Decision
Feb 1 2016	Tax-Writers Ponder Path Forward for 2016; U.S., EU Move Forward with BEPS Implementation
Jun 23 2023	Business Size and DBE Certification- How Big Can You Grow?
Mar 25 2015	UDAAP Council Weekly UDAAP Standards Report - 3/25/2015 -- Unfair, Deceptive, or Abusive Acts or Practices
Feb 6 2019	Third of Three Videos: What is the FCPA? [VIDEO]
Jun 6 2016	Hensarling to Release Dodd-Frank Replacement as House to Vote on Puerto Rico Bill; CFPB, Federal Reserve Propose Long-Awaited Rulemakings
Jul 12 2016	Safe Harbor Replacement EU-US Privacy Shield Approved
Feb 2 2021	Hart-Scott-Rodino Reporting Thresholds Adjust Downward for Just Second Time Ever

Subscribe to The 10 Latest Financial, Banking, & SEC Articles

Trending News