Financial, Securities & Banking

HB Ad Slot
HB Mobile Ad Slot

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
Custom text Organization Sort descending
Oct
12
2020
A Supplier’s Post-Pandemic Guide to Overhauling Force Majeure Provisions
Jul
31
2018
EBA’s Draft EU Risk Retention Regulatory Technical Standards
Jan
20
2020
It’s the Final Countdown: Being Prepared for Regulation Best Interest
Mar
20
2020
Keeping it All in the Family
Nov
23
2020
A Record-Breaking Year in Digital Health Investments: Key Takeaways | HTLH GoLive Webinar
Sep
25
2018
Good News for Blockchain - EU Not in a Hurry to Regulate
Nov
2
2015
House Financial Services Committee To Hold Mark-Up; Several Agencies Propose, Finalize Various Rules
Feb
1
2016
Puerto Rico, Fiduciary Rule At Front of Agenda; FSOC, OFR to Hold Fifth Annual Conference as SEC Considers Equity Market Structure Issues
Feb
2
2021
Hart-Scott-Rodino Reporting Thresholds Adjust Downward for Just Second Time Ever
Jun
4
2020
Power Play: California May Require Attorney General Approval for Transactions Involving Health Systems, Private Equity Groups, or Hedge Funds
Nov
30
2017
DOJ Issues New FCPA Policy Offering Incentives to Encourage Disclosure of Foreign Bribery and Corruption Misconduct
Aug
2
2022
Huge Changes to the Personal Net Worth Calculation- Proposed Changes to Federal DBE Program
Jul
12
2016
Safe Harbor Replacement EU-US Privacy Shield Approved
Dec
20
2023
DNA Tests Aren’t Required (or Necessary) for Diverse Business Certifications- Beware of Unqualified Consultants Giving Bad Advice
Mar
11
2015
Unfair, Deceptive or Abusive Acts or Practices (UDAAP) Council Weekly UDAAP Standards Report - 3/11/2015
Sep
19
2016
Terrorism Financing, Consumer Protection in Spotlight; Various Financial Services Regulators to Meet
Mar
19
2015
UDAAP Council Weekly UDAAP Standards Report for 3/18/2015--Unfair, Deceptive and Abusive Practices
Apr
27
2015
Lawmakers To Focus On Oversight Of And Regulatory Burdens On The Financial Services Industry
May
7
2015
UDAAP Council Weekly UDAAP Standards Report -5/6/2015
May
2
2018
Watch Out! Russian Spies Plan to Take Control of Blockchain (Which Means Cryptocurrencies)!
Sep
23
2020
Options for Certification as a Women-Owned Small Business (WOSB) or Economically Disadvantaged Women-Owned Small Business (EDWOSB) Under the New SBA Rules
May
11
2015
New IRS Rulings Should Provide Greater Certainty for Corporate Restructurings
Nov
5
2019
World’s Largest Bitcoin Mining Facility to be Built in Milam County, Texas!
Oct
9
2020
Know Your Rights: What to do if Your Company’s Application for DBE Certification is Denied.
Oct
13
2020
New California Mental Health Law May Affect Health Plan Benefits and Utilization Review
May
10
2021
SEC’s Focus on Climate and Environmental, Social and Governance Issues
May
17
2021
License Agreement Not Enough for Standing on Appeal of an IPR Apple Inc. v. Qualcomm Inc.
May
29
2009
Do You Know Where Your Risks Are? Possible Dangers Lurking in E-Mails and Internal Investigations
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins