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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Aug 5 2020	Overly Eager: TCPA Suit Proceeds Against Company that (Allegedly) Sent Ringless Voicemails to Consumers Who Entered—But Did Not Submit—Phone Numbers on a Website	Troutman Amin, LLP
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
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
Feb 13 2023	DID THE CFPB JUST KILL PING POST TRANSACTIONS?: Regulator Finds Sell of Transfer Leads to Highest Bidder May Violate RESPA	Troutman Amin, LLP
Mar 7 2024	MASSIVE WIN FOR PLATFORMS: Federal Court Slaps Down FTC– Holds Ringless Voicemail Platform Provider Cannot Be Liable for TSR Violations	Troutman Amin, LLP
Mar 7 2022	BARRY GOOD: Court Dismisses ATDS Case–Rejects Footnote 7 Argument–Relying on “Awesome” Case	Troutman Amin, LLP
Apr 3 2024	Email Spy: Home Depot Sued in Putative Class Action For Alleged Use of Spy Tracking Pixels	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
Feb 8 2024	SCOTUS CONFIRMS FCRA WAIVES SOVEREIGN IMMUNITY: So Yes, You Can Sue the Government For False Credit Reporting…but Not For Robocalls	Troutman Amin, LLP
Apr 5 2024	CALLIER WINS DIALER BATTLE: Court Finds Kixie Platform Might be an ATDS and Refuses to Dismiss TCPA Claim	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
Jun 13 2023	GOVERNMENT AGENCY SANCTIONED!: Five Defendants Pursued by CFPB in Debt Collection Call Case Set Free After Agency’s Deposition Misconduct	Troutman Amin, LLP
Jun 16 2023	UPHELD!: Credit One’s Incredible $286k Win Against “Bad Faith” TCPA Claimant Survives Appeal–But Extra $73K Shaved Off	Troutman Amin, LLP
Jun 30 2023	BIGGEST CASE IN HISTORY?: Absolutely MASSIVE New CIPA Class Action Suit May Bankrupt Microsoft and OpenAI– and Cripple Generative A.I. in the United States for Years to Come	Troutman Amin, LLP
Jul 3 2023	CAUTIONARY CONTINUANCE: Enforcement of California’s CPRA Regulations Takes a Pause Until March 29, 2024, But CCPA Remains in Full Force	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
Jul 9 2020	TCPA Quick Hitter: Plaintiff Entitled to a Jury Trial Against Bank that Waived Protection Against Jury Trial	Troutman Amin, LLP
Jul 22 2020	No TCPA Claims Against Debt Collectors Allowed!: Court holds that ATDS Allegations Against Debt Collection Companies Simply not Plausible in Seventh Circuit	Troutman Amin, LLP
Sep 26 2019	R.I.P. 2003 and 2008 Predictive Dialer Rulings: District Court Reverses TCPA ATDS Ruling—Sinks Final Nail into Coffin of Once Popular TCPA Argument	Troutman Amin, LLP
Feb 12 2024	CIRCLE TCPA: Purple Thunder Polar Pop Text Message Lands Circle K In TCPA Class Action	Troutman Amin, LLP
Jan 16 2020	28 Days Later: Corporate Officer Faces Personal Liability for TCPA Suit For Failing to Stop Calls Less than a Month After Earlier Suit	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

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