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
Oct 31 2022	PLAINTIFF FAILED TO ALLEGE TCPA CLAIM: Small Victory For Capital Link Management	Troutman Amin, LLP
Feb 2 2024	NO PERSONAL TCPA LIABILITY!: Court Throws out Claims Against a TCPA Defendant’s Owner And It Is Really Good News	Troutman Amin, LLP
Apr 27 2021	Congress Holds Hearing on FTC Powers– Watch Here	Troutman Amin, LLP
Feb 8 2024	ARE YOU A “HIGH RISK CUSTOMER”?: Why Recent FTC Consent Order Makes it Trickier Than Ever for Telemarketers To Find Carrier Partners	Troutman Amin, LLP
Apr 29 2021	FEELING THE HEAT: Mortgage Company Blasted in New DNC TCPA Class Action–And there Are Lessons Here	Troutman Amin, LLP
Feb 9 2024	NICE WORK: Court Strikes Part of a TCPA Class Definition and Does A Really Nice Job Of Applying the Rules On Objective Pleading	Troutman Amin, LLP
May 18 2021	Out of the Frying Pan: Another Defendant Ends up in State Court After Raising Article III Issues	Troutman Amin, LLP
Jun 11 2021	Subway Can’t Enforce Arbitration: Appellate Court Reminds that Consumer Experience is Just as Important as Content of Disclosure	Troutman Amin, LLP
Jul 16 2021	Court Allows Plaintiff to Sue Employees of TCPA Defendant Directly After Company Claimed a Lack of Funds	Troutman Amin, LLP
Aug 2 2021	VIRGINA IS FOR LOVERS (of DNC Claims): New Case Confirms $5,000.00 Per Call State Private Right of Action Against Marketers	Troutman Amin, LLP
Mar 10 2021	Victory by Default: TCPA Defendant Ends up Winning a TCPA Case By Doing Nothing At All	Troutman Amin, LLP
Apr 16 2021	Prerecorded Recall Disaster: Automated Messages Urging Mayoral Recall Lead to Certified TCPA Class Action	Troutman Amin, LLP
Feb 27 2023	IT'S HAPPENING!: Supreme Court to Review–Likely Confirm–CFPB is Unconstitutionally Funded	Troutman Amin, LLP
May 26 2021	Real Quick: Navient May (May) Get Another Chance to Defeat TCPA Claim Arising Out of Government-Backed Debt Exemption	Troutman Amin, LLP
May 18 2023	HOW ONE COMPANY IS SELF-REGULATING IN THE LEAD GEN SPACE And Their Response to the NPRM	Troutman Amin, LLP
Jun 25 2021	SPOKEO ON STEROIDS: It Happened–Supreme Court Holds Unnamed Class Members Must Have Standing to Recover Damages at Trial and Class Actions as We Know them Are Dead (Again)	Troutman Amin, LLP
Jun 22 2023	ROCKET BLASTED: Mortgage Giant Hit with ANOTHER TCPA Class Action	Troutman Amin, LLP
Jul 28 2021	Bright line: Not Interested is Not a Revocation	Troutman Amin, LLP
Jul 25 2023	RUN!!! FOOTNOTE 7 LIVES!: Colorado District Court Holds Directly That Using an ROSNG To Determine Calling Order Triggers TCPA!	Troutman Amin, LLP
Nov 8 2021	Popular Lead Supplier Bails Out Seller With Critical Consent Data Sufficient to Decertify Class	Troutman Amin, LLP
Mar 29 2021	More Good Creasy News: Court Certifies Interlocutory Appeal and Stays Case	Troutman Amin, LLP
Dec 16 2021	“Not Superior”: Court Finds TCPA Class Action Lacks Predominance–And that Meritorious Claims Belong in Small Claims Court	Troutman Amin, LLP
Jan 19 2024	Back to the Basics: Court Clarifies that the TCPA’s Section 227(c) Applies to Cell Phones	Troutman Amin, LLP
Apr 19 2021	Keystone: A Court in PA Just Quietly Saved TCPAWorld from a Massive Onslaught of New Internal DNC Cases and No One is Talking About it	Troutman Amin, LLP
Apr 19 2021	What Will Appellate Courts Do With Facebook?: New SCOTUS Remands Put the ATDS Ball Back in Familiar Courts	Troutman Amin, LLP
Oct 28 2020	SERGEI LEMBERG ON UNPRECEDENTED NOW AVAILABLE!: Click Here for The HUGE TCPA Podcast Interview with Duguid Lead Counsel on ATDS Appeal [Podcast]	Troutman Amin, LLP
May 28 2021	Facebook Changed Nothing?: Court Holds that Facebook Ruling Does not Alter pre-Existing Framework on Text Messages	Troutman Amin, LLP
Jun 4 2021	“Disturbing”: Cell Phone Carrier’s Internal Coding Leads to TCPA Suit—Case Brought from Resulting Confusion Dismissed but Attorneys’ Fees Denied	Troutman Amin, LLP

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

Trending News