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
May 21 2010	Lenders Beware: The Threat of Equitable Subordination in Bankruptcy Cases	Poyner Spruill LLP
May 24 2010	Sentencing Guideline Amendments Emphasize Compliance Officer Reporting Relationships	Taft Stettinius & Hollister LLP
May 24 2010	Condominium and Homeowner Association Board Member Fiduciary Duties. The Impending Statute of Limitation for Hurricane Wilma Claims.	Risk Worldwide
May 25 2010	Use Of Social Media Web Sites By Broker Dealers	Baker Donelson Bearman Caldwell & Berkowitz, PC
May 26 2010	Financial Reform Legislation: The Trampling of Creditors' Rights	Bracewell LLP
May 30 2010	The 365/360 Method of Calculating Interest: Lenders and Borrowers Square Off	Much Shelist, P.C.
May 30 2010	The Powers and Duties of a Chapter 7 Bankruptcy Trustee
May 31 2010	The Market Incentive Model: Explaining the Shareholders' Active Role	Santa Clara University School of Law
May 31 2010	Breach of Pre-petition Contract Claims May Be Subject to Core Jurisdiction	St. John's University School of Law
Jun 2 2010	Use of Credit Checks as a Hiring Screen Draws Questions	Dinsmore & Shohl LLP
Jun 3 2010	KEEPING YOUR MONEY IN YOUR POCKET: Some Basics of Bankruptcy Preference Actions	Kane Russell Coleman & Logan PC
Jun 5 2010	Filthy Lucre: Confronting the Risks of Money Laundering	Risk and Insurance Management Society, Inc. (RIMS)
Jun 7 2010	Insurance and Good Corporate Governance: A Modest Proposal	Much Shelist, P.C.
Jun 11 2010	Delaware Chancery Court Dismisses Derivative Plaintiff's Section 220 Books And Records Action	Sheppard, Mullin, Richter & Hampton LLP
Jun 14 2010	House To Consider Bill Eliminating Capital Gains Taxes On Small Business Investments As Early As This Week	Davis Wright Tremaine LLP
Jun 14 2010	Sixth Circuit Reinforces Limits on Class Action Securities Litigation	Dinsmore & Shohl LLP
Jun 14 2010	DOJ and FTC Issue Proposed Revisions to Horizontal Merger Guidelines	Dinsmore & Shohl LLP
Jun 14 2010	Second Circuit Affirms Dismissal Of Securities Fraud Complaint, But Rejects Reform Act Safe Harbor Defense	Sheppard, Mullin, Richter & Hampton LLP
Jun 15 2010	California Court Of Appeal Applies Three-Year Limitation Under Delaware Law To Claim Against Dissolved Delaware Corporation	Sheppard, Mullin, Richter & Hampton LLP
Jun 17 2010	AIG: A Timeline to the End of the SEC Probe	Risk and Insurance Management Society, Inc. (RIMS)
Jun 17 2010	FTC Announces that it is Delaying Enforcement of the Red Flags Rule until December 31, 2010	Much Shelist, P.C.
Jun 18 2010	Wrongful Foreclosure – Verbal Assurance that Foreclosure Sale Will be Postponed May be Enforceable - Deliberate and Effective External and Internal Communication is Critical	Holme Roberts & Owen LLP
Jun 20 2010	Using Letters of Credit as Collateral For Insurance Contracts	Risk and Insurance Management Society, Inc. (RIMS)
Jun 20 2010	Changes on the Horizon –Taxation of Carried Interests	Holme Roberts & Owen LLP
Jun 21 2010	D&O Coverage for Government Investigations	Risk and Insurance Management Society, Inc. (RIMS)
Jun 22 2010	Third Circuit Rules that the Issue of Whether the Arbitration Agreement Contained An Explicit Class Action Waiver is Within the Discretion of the District Court to Decide	Goldberg Segalla LLP
Jun 25 2010	Insolvent Financial Institutions and The D'Oench Duhme Doctrine: The FDIC'S Avoidance Power	Dinsmore & Shohl LLP
Jun 26 2010	Finding and Fixing Corporate Misconduct - How Layoffs Have Impacted Compliance Issues and Corporate Culture	Risk and Insurance Management Society, Inc. (RIMS)

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