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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Mar 15 2021	Buzzer Beater?: TCPA Defendants Get Some Much-Needed Good news On Creasy—But is it Too Little Too Late?	Troutman Amin, LLP
Jul 31 2020	TWO BITES– ONE APPLE: : Court Denies Class Certification in Skip Trace TCPA Case but Gives Plaintiff a Second Chance—And a Little Help	Troutman Amin, LLP
May 3 2021	Stuck in the States: Canadian Company Trapped in TCPA Suit in California Because the TCPA is Too Whacky for Canada	Troutman Amin, LLP
May 3 2021	Trifecta: Eleventh Circuit Decides The Case of the Three Judgments in Favor of Loan Servicer	Troutman Amin, LLP
Mar 7 2022	BARRY GOOD: Court Dismisses ATDS Case–Rejects Footnote 7 Argument–Relying on “Awesome” Case	Troutman Amin, LLP
Apr 2 2024	Trigger Leads: Has the Train Left the Station Already?	Troutman Amin, LLP
Apr 3 2024	FASHIONABLE LAWSUITS: Hugo Boss and Chicme Latest Targets of TCPA Class Actions	Troutman Amin, LLP
Aug 17 2021	Jury is Out: Case Claiming TCPA Plaintiff’s Lawyer Guilty of Fraud Reaches Trial–Jury In Deliberation	Troutman Amin, LLP
Aug 20 2021	Somebody Owes Navient $1.14MM Bucks!: And It Isn’t Me… [PODCAST]	Troutman Amin, LLP
Sep 28 2022	WEIGHT IN GOLD: Great New TCPA Discovery Ruling Properly Limits Overly Broad 30(b)(6) Notice in Colonial Penn TCPA Case	Troutman Amin, LLP
Sep 23 2020	Zillow Rockets Up the List of Top Robocallers: 9MM Calls in August, 2020 Make Zillow 5th Largest Robocaller in the Nation (Maybe)	Troutman Amin, LLP
Nov 9 2020	Bank Stuck in Debt Collection Robocall Suit: Allegations Bank Called Consumer up to 8 times Per Day Sufficient to Constitute Invasion of Privacy	Troutman Amin, LLP
Apr 3 2024	COURT PREVENTS TCPA BAIT AND SWITCH: Forbids Abante Rooter from Switching Class Representatives to Fred Heidarpour.	Troutman Amin, LLP
Jun 16 2021	Facebook Fn7 Proves Costly: First Case Holding LiveVox System May be ATDS Under Facebook FN7 is Out—But There’s a Silver Lining [PODCAST]	Troutman Amin, LLP
May 14 2024	$35MM GODADDY TCPA SETTLEMENT EXPLODES (PART 1): Appellate Court Finds Probable “Collusion” Between Class Counsel and GoDaddy Lawyers in TCPA Class Settlement–Deems Class Counsel “Inadequate” To Represent the Class	Troutman Amin, LLP
Jul 21 2021	Democratic House Passes Bill to Give FTC its Power Back	Troutman Amin, LLP
Dec 18 2020	TCPA NIGHTMARE: Court Grants $122k Summary Judgment Against Debt Collector for Using Noble Predictive Dialer to Contact Revoking Debtor– CEO Must Face Jury on Personal Liability	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
Nov 14 2022	BAD NEWS MONDAY: Corporate Defendant Must Produce Enormous Amount of Financial Information After Losing Its Motion for Protective Order for 30(b)(6) Notice Deposition.	Troutman Amin, LLP
Apr 27 2021	Congress Holds Hearing on FTC Powers– Watch Here	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 14 2023	It is Valentine’s Day and Sharing is Caring! More thoughts on CFPB Advisory Notice.	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
Mar 15 2024	RAW DOG: Bottom Line Concepts Stuck in TCPA Class Action Over Snoop Dogg “Approved” Message	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
Jun 27 2023	SEPARATE COUNSEL NEEDED?: Auto Warranty Company Stuck in Case on “Direct” Liability Theory–And Sharing Lawyer with the Seller May Have Been the Reason	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

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