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.

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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May
27
2020
 Impact Of COVID-19 On Illinois Cannabis Contracts — Do Force Majeure Clauses Provide A Defense To Non-Performance Sheppard, Mullin, Richter & Hampton LLP
May
27
2020
 A Few Questions Answered – SBA Issues PPP Loan Application and Additional Interim Final Rules Ward and Smith, P.A.
May
27
2020
 COVID-19 Update: Updated FAQs and MLSA Released by the Federal Reserve Provides Additional Details on Eligible ABS, Eligible Borrowers and Financing Terms under TALF Cadwalader, Wickersham & Taft LLP
May
27
2020
 Second Circuit Holds That Investors Who Delegate Discretionary Authority to Investment Advisors are not Members of a “Group” for Purposes of Section 16(b) Liability Sheppard, Mullin, Richter & Hampton LLP
May
27
2020
 Poland: Signing Documents amid the Pandemic Squire Patton Boggs (US) LLP
May
26
2020
 ReOpen DC Advisory Group Recommends Four-Stage Reopening Plan Greenberg Traurig, LLP
May
26
2020
 Remote Only Shareholder Meetings Now Permitted During a State of Emergency Under the Amended New Jersey Business Corporation Act Giordano, Halleran & Ciesla, P.C.
May
26
2020
 Small Business Administration Issues Additional Guidance on Forgiveness of Paycheck Protection Program Loans Jackson Lewis P.C.
May
26
2020
 Remand Order Underscores Federal Courts’ Reluctance to Enter COVID-19 Business Interruption Fray Faegre Drinker
May
26
2020
 Updated OSHA Guidance Demonstrates Employers’ Need for Further Pandemic Planning (US) Squire Patton Boggs (US) LLP
May
26
2020
 CDC’s Detailed Guidance to Reopen Businesses Davis|Kuelthau, s.c.
May
26
2020
 Chancery Court Rules That LLC Unit Buyout Provision Operated As a Call Option K&L Gates
May
26
2020
 Don't Sleep On Your Lost, Destroyed Or Stolen Stock Certificate, Darlin' Allen Matkins Leck Gamble Mallory & Natsis LLP
May
23
2020
 Court of Chancery Decides Motions to Dismiss, Motion for Summary Judgment, and Motion for Judgment on The Pleadings when Plaintiff Sues Stockholders and Directors of The Company He Founded K&L Gates
May
22
2020
 SEC Adopts Amendments to Improve Financial Disclosures related to Acquisitions and Dispositions of Businesses, Update “Significant Subsidiary” Test Bracewell LLP
May
22
2020
 Court of Chancery Decides Motions to Dismiss, Motion for Summary Judgement, and Motion for Judgement on the Leadings When Plaintiff Sues Stockholders and Directors of the Company He Founded K&L Gates
May
22
2020
 Mexico’s Economic Outlook During and After COVID-19 and the Maquiladora Industry Sheppard, Mullin, Richter & Hampton LLP
May
22
2020
 CFTC GMAC Recommendations Concerning Initial Margin for Swaps Katten
May
22
2020
 CFTC Division of Enforcement Civil Monetary Penalty Guidance and Seeks Public Comments on Strategic Plan Katten
May
22
2020
 Top Takeaways: Critical Business Considerations for Life Sciences and Medical Device Companies During COVID-19 McDermott Will & Emery
May
22
2020
 COVID-19: Enforcement Trends in Latin America and Corporate Risk Mitigation in the Next Global Hotspot K&L Gates
May
22
2020
 The SBA Issues Forgiveness Application and Guidance for the Paycheck Protection Program: What Employers Need to Know Mintz
May
22
2020
 Top Takeaways: Permissible Provider Collaborations During COVID-19 and Beyond McDermott Will & Emery
May
21
2020
 The Pandemic Effect: The Outsourced Service Provider as a Resource Norris McLaughlin P.A.
May
21
2020
 Massachusetts Adopts Four-Phase Approach to Reopening Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
May
21
2020
 Spurred by COVID-19 Emergency, IRS Issues Cafeteria Plan Relief Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
May
21
2020
 Did Your Business Deal Just Do a Disappearing Act? Securing Legally Binding, Enforceable Contract Terms
May
21
2020
 1, 2, 3 Strikes, You’re out With Your FTE Jones Walker LLP
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