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.

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Recent Securities, SEC, & Financial Institution Law News

Title
Custom text Organization
Apr
6
2020
 COVID-19: Massachusetts Extends Non-Essential Business Closures and Gathering Restrictions K&L Gates
Apr
6
2020
 Time to Settlement and Case Complexity: An Excerpt from Accounting Class Action Filings and Settlements—2019 Review and Analysis Cornerstone Research
Apr
6
2020
 Unlocking Hidden Business Value: Securing Top Dollar by Giving Full Appreciation to All Available Assets On The Sale of A Private Company
Apr
6
2020
 COVID-19 and Force Majeure: What Businesses Should Know Ward and Smith, P.A.
Apr
6
2020
 Update: Affiliation Under the Paycheck Protection Program Stark & Stark
Apr
6
2020
 COVID-19: SBA Clarifies Affiliation Rules for Paycheck Protection Program Pierce Atwood LLP
Apr
6
2020
 COVID-19: UK Employee Share Schemes Squire Patton Boggs (US) LLP
Apr
6
2020
 Williams-Sonoma Pays $1 Million to Settle “Made in USA” Claims Keller and Heckman LLP
Apr
6
2020
 Employee Retention Tax Credit for Employers Under the CARES Act Greenberg Traurig, LLP
Apr
6
2020
 Directorial Duties To Creditors - Getting To The Bottom Of The California Trust Fund Theory Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
5
2020
 Georgia Governor Kemp Issues Two-Week Stay-at-Home Order Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Apr
5
2020
 Force Majeure: Friend or Foe Amidst COVID-19 Katten
Apr
4
2020
 Paycheck Protection Program Loans and the Business Affiliation Rules: "Don't Wing It" Ward and Smith, P.A.
Apr
4
2020
 Second Circuit Holds that Registering to do Business in New York Under Section 1301 of the Business Corporation Law Does Not Constitute Consent to General Personal Jurisdiction in New York Courts Sheppard, Mullin, Richter & Hampton LLP
Apr
3
2020
 Loans to Directors Under the SBA Paycheck Protection Program Jones Walker LLP
Apr
3
2020
 The Executive Committee in Times of Crisis McDermott Will & Emery
Apr
3
2020
 Adapting: Litigation Dynamics for Businesses Addressing Strained Relationships Womble Bond Dickinson (US) LLP
Apr
3
2020
 SBA Rolls Out Paycheck Protection Program Much Shelist, P.C.
Apr
3
2020
 DOL Clarifies the Families First Coronavirus Response Act Small Business Exemption Varnum LLP
Apr
3
2020
 SBA Issues Interim Rules on and Final Application for the $349 Billion Paycheck Protection Program Varnum LLP
Apr
3
2020
 Remote Shareholders’ Meetings Authorized and Encouraged for North Carolina Corporations in COVID-19 Environment Womble Bond Dickinson (US) LLP
Apr
3
2020
 Minority Shareholders Might Just Owe Fellow Shareholders A Fiduciary Duty Womble Bond Dickinson (US) LLP
Apr
3
2020
 SBA Issues Interim Rule and Guidance to CARES Act Paycheck Protection Program Stark & Stark
Apr
3
2020
 HHS to Exercise Enforcement Discretion to Permit HIPAA Business Associates to Use and Disclose PHI to Public Health Authorities during the COVID-19 Health Crisis Proskauer Rose LLP
Apr
3
2020
 Latest Guidance on Paycheck Protection Loan Program under the CARES Act Womble Bond Dickinson (US) LLP
Apr
3
2020
 In Determining Legal Duties Owed, The Nature Of The Entity–And Not What You Call It–Controls Womble Bond Dickinson (US) LLP
Apr
3
2020
 SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 Katten
Apr
3
2020
 Agencies to Consider Comments on Volcker Rule Modifications Katten
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