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

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May 8 2020	Family Law: Transferring Private Company Interest in Divorce—Going Beyond the Basics to Ensure Continued Success and Avoid Conflicts
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
Nov 21 2022	Three Options for Charitable Giving
Dec 9 2019	All in the Family – Why Controlled Group Rules Matter
Jun 6 2009	Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Mar 11 2022	FDA Publishes Proposed Rule on National Standards for The Licensure of Wholesale Drug Distributors and Third-Party Logistics Providers as Required by The Drug Supply Chain Security Act
May 30 2010	The Powers and Duties of a Chapter 7 Bankruptcy Trustee
Nov 5 2020	Franchisor Wins Attorneys’ Fees and Costs in Termination Decision
Jun 14 2021	What to Do When a Departing Employee Downloads Information
Apr 8 2022	SBA Updates Size Standards for Many Industries
Jul 13 2015	Fed, CFPB Heads to Testify; SEC, CFTC to Hold Meetings
Jun 9 2023	Independence Required for Disadvantaged Business Enterprise Certification
Jun 15 2017	USCIS Seeks Input on Revised EB-5 Capital At Risk Requirement
Feb 6 2019	Third of Three Videos: What is the FCPA? [VIDEO]
Feb 1 2016	Tax-Writers Ponder Path Forward for 2016; U.S., EU Move Forward with BEPS Implementation
Sep 13 2021	On Her Shoulders, Episode 9 - Interview with Sara Brand and Kerry Rupp [PODCAST]
Feb 4 2021	Relief for Partial Plan Terminations May Be “Too Little, Too Early”
Oct 7 2021	Legal Implications of Blockchain in Supply Chain: What’s Law Got to Do With It?
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 11 2015	Financial Services Committee Continues Housing Focus; FSOC Adopts Changes
Feb 23 2015	Lawmakers To Receive Update On Monetary Policy; CFTC To Hold Meeting Of Energy And Environmental Markets Advisory Committee
Jan 8 2023	Bitcoin, Crypto-Assets, and the Energy Sector
Apr 17 2018	Trump Administration’s Clashes with China on Trade and Investment Demonstrate Importance of Vetting International Trade and National Security Risks in Deals
Sep 25 2020	SEC Adopts Final Rules Amending Its Whistleblower Program
Jul 31 2018	EBA’s Draft EU Risk Retention Regulatory Technical Standards

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