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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Apr 11 2019	UK Financial Conduct Authority Anti-Money Laundering Investigations Underway With Threats of Civil and Criminal Enforcement	Greenberg Traurig, LLP
Oct 7 2014	The Competition & Markets Authority Imposes Changes to the UK’s Audit Market with Significant Implications for FTSE 350 Companies	Greenberg Traurig, LLP
Nov 15 2017	Foreign Investment and National Security: Stricter Controls Proposed by the EU and UK	Greenberg Traurig, LLP
Aug 3 2022	Proposed Amendments to Community Reinvestment Act Implementing Regulations Seek to Incentivize Investments in Indian Country	Greenberg Traurig, LLP
Oct 17 2023	California Bans Hidden Fees, Effective July 1, 2024	Greenberg Traurig, LLP
Mar 10 2013	How EB-5 Petitions and the Investment Company Act of 1940 Intersect	Greenberg Traurig, LLP
Apr 18 2016	Not Every Broker-Dealer is an EB-5 Broker-Dealer	Greenberg Traurig, LLP
Mar 14 2013	Use of Broker-Dealers in EB-5 Offerings	Greenberg Traurig, LLP
May 23 2019	Summer Is Coming – Are You Prepared for the SEC OCIE Cybersecurity Sweep?	Greenberg Traurig, LLP
Oct 7 2021	Competition Currents October 2021 \| The Netherlands & UK	Greenberg Traurig, LLP
Nov 21 2014	Consumer Financial Protection Bureau (CFPB) Observer: Recent Developments from Nov. 3-7, 2014	Greenberg Traurig, LLP
Mar 31 2013	Not so Fast at the Eden Roc	Greenberg Traurig, LLP
Oct 31 2023	Los Angeles ULA ‘Mansion Tax’ Survives Latest Bout	Greenberg Traurig, LLP
May 13 2016	CFPB Proposed Rule on Consumer Finance Arbitration	Greenberg Traurig, LLP
Jul 14 2020	IRS Audit and Investigation Priorities Now That the IRS Is Back in Business	Greenberg Traurig, LLP
Dec 11 2014	View from London: Completion Accounts Case Law Every Dealmaker Should Know About	Greenberg Traurig, LLP
Dec 17 2014	European Union Guidelines on State Aid for Rescuing and Restructuring Non-Financial Undertakings in Difficulty	Greenberg Traurig, LLP
Nov 9 2023	FTC Urges Companies to Protect Sensitive Health Data	Greenberg Traurig, LLP
May 1 2013	Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, and Federal Reserve Board Issue Reports on Deposit Advance Products	Greenberg Traurig, LLP
Sep 29 2022	Wined and Fined: OFSI Imposes Financial Penalty on UK Company for Publicising Sanctioned Crimean Winery	Greenberg Traurig, LLP
Dec 30 2014	FTC Aims To Improve Disclosures Needed in Ads to Avoid Misleading Consumers	Greenberg Traurig, LLP
Nov 3 2021	The Management Systems Underlying ESG Reports	Greenberg Traurig, LLP
Nov 3 2021	SEC Issues Risk Alert Regarding Registered Investment Companies	Greenberg Traurig, LLP
Jan 8 2015	Israeli Start-Ups: Are Provisional Patents Part of Your Strategy?	Greenberg Traurig, LLP
Jun 30 2016	New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers	Greenberg Traurig, LLP
Jan 16 2018	Illinois Appellate Court Recognizes Joint Defense Privilege	Greenberg Traurig, LLP
Oct 14 2022	ENABLERS Act Proposes to Expand Definition of ‘Financial Institution’; Impose BSA/AML Requirements on Professional Service Providers	Greenberg Traurig, LLP
Aug 1 2019	SEC Clears First Two Regulated Token Offerings	Greenberg Traurig, LLP

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