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

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Jul
22
2015
Whistleblower Program Development, Part 3: “Would Your Compliance Program Survive an Audit?” [VIDEO]
Apr
24
2017
Full Steam Ahead with Financial Services Regulatory Reform
Jul
9
2021
Supply Chain Security gets help from NIST!
Jun
26
2023
Weekly IRS Roundup June 20 – June 23, 2023
Dec
7
2015
Financial Stability Oversight Council, Fiduciary Rule in Focus for Financial Services Lawmakers; SEC to Hold Open Meeting
Dec
29
2015
December 2015: A Compilation of Finance Enforcement and Non-Enforcement Actions
Sep
10
2021
SEC Issues an Investor Alert about Digital Asset and “Crypto” Investment Scams!
Mar
4
2019
Hart-Scott-Rodino Reporting Threshold Reaches $90 Million
Feb
12
2021
CDC Says Fully Vaccinated Employees No Longer Required To Quarantine
Apr
11
2016
House Lawmakers to Vote on Dodd-Frank, Other Financial Services Bills; Puerto Rico Remains Key Priority
Aug
17
2022
Changes to Decertification Process? Proposed Changes to Federal DBE Program
May
6
2019
DOJ Announces Updated Guidance on Evaluating Corporate Compliance Programs
May
23
2016
International Issues Take Center Stage; CFPB Soon Expected to Release Rulemaking on Short-Term, Small Dollar Loans as SEC Sets Timeline for Fiduciary Rule
Jul
11
2019
Storm Preparation: Dealing With Financially Troubled Companies and Avoiding Clawbacks
Mar
24
2021
Human Rights and Forced Labor Sanctions Announced
Aug
15
2019
How New York Department of Financial Service’s New Research and Innovation Division Can Improve Cryptocurrency and Technology Regulations
Sep
5
2019
Not All Creditors Are Created Equal: Critical Vendors and Bankruptcy
Dec
5
2022
Get up to Speed: Blockchain for the Auto Industry
Oct
10
2019
How Can Automotive Startups Attract Investment from Car Manufacturers?
Apr
20
2015
Senate Banking Committee Schedules Markup; Department Of Labor Releases Fiduciary Rule
Nov
28
2016
Financial Services Policymakers Prepare for 2017 as Regulators Wrap-Up Work
Oct
15
2020
How Your Business Can Get DBE Certification in Other States
Feb
26
2022
Impacts of the Canadian Trucker Blockade: How Can Businesses Prepare for Disruptions?
Jul
31
2009
Abstention as an Alternative: Bankruptcy Court Is Not Always the Best Place to Be
Mar
19
2020
Coronavirus Outbreak Causes North American Carmakers to Announce Temporary Closures
Jun
22
2021
Foley Weekly Automotive Report - June 22, 2021
Sep
14
2015
Iran Deal and Terrorism Financing in Forefront for Financial Services Lawmakers
Apr
25
2022
California Supreme Court Ruling Affords Whistleblowers Greater Protection from Retaliation
 

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