Financial, Securities & Banking

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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.

National Law Review Financial Regulation and Banking Law TwitterFor 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

Title
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Oct
13
2020
New California Mental Health Law May Affect Health Plan Benefits and Utilization Review
Feb
9
2022
Section 201 Tariffs on Solar Cells Extended
May
18
2021
Foley Weekly Automotive Report: May 18, 2021
Nov
30
2009
Use of Independent Contractors May Create Unexpected Liability
May
15
2023
Weekly IRS Roundup May 8 – May 12, 2023
Mar
31
2022
Sustainability in the Fashion Industry
Jul
20
2015
Dodd-Frank Turns Five, Continued Focus On Fiduciary Rule
Jun
12
2023
Bad News for Bad Spaniels: SCOTUS Sides with Jack Daniel’s in Trademark Case
Jul
13
2023
SBA Size Standards: Affiliation Considerations Based on Stock Ownership
Jul
27
2021
Foley Weekly Automotive Report - July 27, 2021
Oct
19
2015
House Financial Services Committee Puts Spotlight on Housing; DOL to Make Changes to Fiduciary Rule
Nov
16
2015
Senate to Vote on District Judge; House to Take Up Financial Services Legislation
Aug
15
2023
Does the Supreme Court’s Analysis in Thole v U.S., Bank, N.A. Apply to Welfare Benefit Plans?
Dec
10
2015
Best Practices to Avoid Common FCPA Violations: Gifts, Meals, and Entertainment
May
8
2020
Family Law: Transferring Private Company Interest in Divorce—Going Beyond the Basics to Ensure Continued Success and Avoid Conflicts
Feb
1
2016
Senate Continues Debate on Energy, as House Set to Move Several Financial Services Bills
Dec
11
2017
Labor Department Proposes A Reversal Of Its Current Tip-Pooling Rules
Jun
4
2019
No Surprise that 76% of C-level Executives think the CISO is Critical!
Nov
9
2021
November 9, 2021: Foley Weekly Automotive Report
Dec
21
2021
Foley Weekly Automotive Report December 21
Mar
2
2015
Federal Reserve Remains Under Scrutiny; CFTC Reopens Comment Period On Position Limits, Staff To Hold Roundtable
Apr
13
2015
SEC Blows the Whistle on Confidentiality Agreements
Oct
7
2020
Why Failing to File Your No-Change Affidavit Will Cause Your Business to Lose Disadvantaged Business Enterprise Certification
Nov
26
2016
European Central Bank Publishes Draft Guidance on Leveraged Transactions
Dec
27
2019
Cybersecurity is one of the 7 trends for Blockchain in 2020
Nov
5
2020
Franchisor Wins Attorneys’ Fees and Costs in Termination Decision
Jun
6
2009
Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
May
30
2010
The Powers and Duties of a Chapter 7 Bankruptcy Trustee
 

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