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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Dec 29 2012	China Expands VAT Reform to Eight Additional Provinces and Cities	Greenberg Traurig, LLP
Dec 21 2012	Senate Passes House Bill 4014, Clearing the Way for Privilege Protection Documents Turned Over to the CFPB During Examination — But Murky Waters Still Lie Ahead.	Greenberg Traurig, LLP
Dec 27 2012	China’s Outbound Investment	Greenberg Traurig, LLP
Aug 4 2022	California Bill Would Increase Strict Pay Data Reporting and Pay Transparency Requirements for Businesses Across State	Greenberg Traurig, LLP
Apr 12 2016	Asset Managers and Cybersecurity Risk Management	Greenberg Traurig, LLP
Feb 12 2021	Wait a minute – I thought employee data was deferred from the CCPA until 2023. What exactly are employers supposed to do now?	Greenberg Traurig, LLP
Feb 22 2013	EB-5 Program Securities Offerings: Preparing Appropriate Disclosure Documents	Greenberg Traurig, LLP
Jul 2 2020	Dutch Ultimate Beneficial Owner (UBO) Register Implementation	Greenberg Traurig, LLP
Mar 11 2013	Oregon Flocks to Fraud on the Market	Greenberg Traurig, LLP
Jul 9 2020	China Newsletter \| Spring 2020/Issue No. 46	Greenberg Traurig, LLP
Nov 19 2014	Anti-monopoly Probe and Enforcement in China – Paying the Price for Price!	Greenberg Traurig, LLP
Nov 20 2014	Africa: Realizing the Potential to Become the Breadbasket of the World	Greenberg Traurig, LLP
Feb 26 2021	The Million Dollar Question: Is the use of Adtech considered the sale of personal information?	Greenberg Traurig, LLP
Jul 17 2020	California Makes A U-Turn	Greenberg Traurig, LLP
Sep 29 2022	New Executive Order Identifies National Security Risks for CFIUS to Consider When Assessing Foreign Investment in US Businesses	Greenberg Traurig, LLP
Jul 23 2020	Main Street Loans to Be Extended to Nonprofits	Greenberg Traurig, LLP
Dec 12 2014	Only ‘Whistleblowers’ Need Apply: District Court Concludes Simply Engaging in Protected Activity is Insufficient to Invoke Dodd-Frank Protection	Greenberg Traurig, LLP
Jun 26 2016	Rules Altered Governing Private Investment Ownership in Casinos	Greenberg Traurig, LLP
May 4 2013	Florida Legislature Eliminates Personal Liability for Design Professionals	Greenberg Traurig, LLP
Jul 12 2016	Financial Stability Oversight Council Report Targets Marketplace Lending and FinTECH	Greenberg Traurig, LLP
May 18 2013	The Consumer Financial Protection Bureau, Week in Review: May 6-10, 2013	Greenberg Traurig, LLP
Jan 4 2015	10 Tips for Entrepreneurs Seeking Capital	Greenberg Traurig, LLP
Jan 9 2015	CFPB Observer: Recent Developments from Dec. 15, 2014 – Jan. 2, 2015	Greenberg Traurig, LLP
Aug 9 2016	FINRA Sends Targeted Exam Letter Concerning the Sale of Non-Traded Business Development Companies	Greenberg Traurig, LLP
Jan 23 2015	China Newsletter, Winter 2015 / No. 29	Greenberg Traurig, LLP
Dec 20 2023	GeTtin' SALTy Episode 19 \| Moore Part II: Potential SALT Implications [PODCAST]	Greenberg Traurig, LLP
Jul 9 2013	Getting the Mix Right - the Amenity Mix - From Traditional to Extraordinary	Greenberg Traurig, LLP
Dec 1 2022	Key Priorities for Borrowers in a Bear Market	Greenberg Traurig, LLP

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