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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Jun 15 2023	Mexico: Tax Incentives to Promote Nearshoring in the Isthmus of Tehuantepec	Greenberg Traurig, LLP
Jul 15 2021	Dutch Labor, Employment and Pensions Update	Greenberg Traurig, LLP
Oct 5 2015	FINRA Announces Proposed New Rules to Protect Senior Investors	Greenberg Traurig, LLP
Oct 6 2015	New Fee Disclosure Model Proposed for Broker-Dealers	Greenberg Traurig, LLP
Oct 20 2015	SEC Approves New Rule Requiring BrokerCheck Link on Websites	Greenberg Traurig, LLP
Feb 29 2012	Does Your Firm's Standard Lien Language Create a Possibility that Your Customer IRAs May Lose Their Tax Exempt Status and Protection from Third-Party Creditors?	Greenberg Traurig, LLP
Mar 12 2012	Illinois Appellate Court Reaffirms Rulings That Nonreliance Clauses Bar Fraud Claims	Greenberg Traurig, LLP
Nov 6 2015	Repo Buyers and Sellers Need to be Aware of Tax Issues	Greenberg Traurig, LLP
Apr 16 2020	CARES Act Considerations for Emerging Tech Companies	Greenberg Traurig, LLP
Apr 9 2012	Second Circuit Court Of Appeals Holds That Sophisticated Investors Who Fail To Investigate Accessible Information Relevant To Alleged Misrepresentation and Fraud Claims Cannot Assert Reasonable Reliance	Greenberg Traurig, LLP
Apr 22 2022	Dutch Investment Review Act Passes Dutch House of Representatives	Greenberg Traurig, LLP
Apr 28 2022	CFPB to Examine Nonbank Financial Companies – Including Fintechs – that Pose Risk to Consumers	Greenberg Traurig, LLP
Jul 19 2023	Drafting ESI Protocols	Greenberg Traurig, LLP
Nov 25 2015	Midland Credit Seeks SCOTUS Review of 2d Circuit Ruling that Significantly Impairs National Banks’ Ability to Sell Loans at Note Rate	Greenberg Traurig, LLP
Dec 7 2015	FINRA Accelerates Public Reporting of Certain Disclosure Information	Greenberg Traurig, LLP
Jan 11 2021	USCIS Modifies H-1B Selection Process to Prioritize Wages	Greenberg Traurig, LLP
May 7 2022	Update: UK Bans Exports of UK Professional Services to Russia and Includes Evraz plc on the UK Sanctions List	Greenberg Traurig, LLP
Jun 30 2014	The Consumer Financial Protection Bureau (CFPB), Recent Developments: June 9, 2014 - June 13, 2014	Greenberg Traurig, LLP
Aug 16 2021	USCIS Tightens Policies Regarding Biometrics Appointment Reschedule Requests	Greenberg Traurig, LLP
Aug 1 2023	Under the GDPR, are companies that transmit personal information to AIs as part of ‘prompts’ acting as controllers or processors?	Greenberg Traurig, LLP
May 1 2020	The IRS Issues FAQs Clarifying Relief from Tax Filing Deadlines under Notice 2020-23	Greenberg Traurig, LLP
May 19 2022	CFPB Metrics Report Shows Increased Scrutiny of Borrower Access to Servicers, Information, and Loss Mitigation Opportunities	Greenberg Traurig, LLP
Jul 22 2014	Public Mergers & Acquisitions (M&A) in the UK: Positive Activity in First Half of 2014	Greenberg Traurig, LLP
Jan 15 2016	Study Shows Dramatic Rise in the SEC’s Use of its Administrative Court for Enforcement Actions	Greenberg Traurig, LLP
Sep 2 2021	U.S. Treasury Announces $5 Billion Allocation of New Markets Tax Credit Awards	Greenberg Traurig, LLP
Oct 14 2012	Fire at Will? George Osborne’s Proposals for “Owner-Employee” Contracts	Greenberg Traurig, LLP
Jan 29 2021	The Biden Administration’s ‘Made in America’ Executive Order: A Move to Strengthen U.S. Preferences in Federal Spending	Greenberg Traurig, LLP
Oct 31 2012	New York Court Upholds Retroactive Income Tax Provision for 338(h)(10) Elections	Greenberg Traurig, LLP

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