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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Jan 26 2022	Workplace Safety Review: Episode 20 \| Interview with Morgan Hager, Chesapeake Energy Health, Safety, Environment and Regulatory VP	Greenberg Traurig, LLP
Apr 14 2023	U.S. Department of Labor Updates PERM and Prevailing Wage Determination Processing Times	Greenberg Traurig, LLP
Apr 3 2024	EU Listing Act: Simplifying a Stock Exchange Listing, in Particular for SMEs and UK Prospectus Reform	Greenberg Traurig, LLP
Mar 4 2014	The Consumer Financial Protection Bureau (CFPB), Recent Developments: February 10, 2014 - February 14, 2014	Greenberg Traurig, LLP
Nov 20 2020	Florida Department of Health Issues 5 Notices of Emergency Rules Related to Medical Marijuana Treatment Centers	Greenberg Traurig, LLP
May 7 2024	Despite Claim of Circuit Split, U.S. Supreme Court Declines to Review ATM Class Certification in Antitrust Case	Greenberg Traurig, LLP
Mar 28 2014	Collecting 'Personal Identification Information' During Credit Card Transactions -- Latest Developments	Greenberg Traurig, LLP
Mar 27 2020	Considerations for Owners of Shopping Centers and Tenants in Poland in Light of Coronavirus Disease 2019 (COVID-19)	Greenberg Traurig, LLP
Aug 22 2011	Derivatives — Inter-Affiliate Swaps Exemption from Dodd-Frank is Sought in Congress	Greenberg Traurig, LLP
Nov 30 2020	2020 DOJ Health Care Fraud Takedown	Greenberg Traurig, LLP
Dec 4 2020	What Percentage of Websites Have a Cookie Banner? Is it Increasing or Decreasing? Is it "Opt-Out" or "Opt-In"?	Greenberg Traurig, LLP
Nov 26 2011	Best Practices for CEOs to Build Compliant Organizations	Greenberg Traurig, LLP
Jun 28 2023	FINRA Approves Prometheum Ember Capital LLC to Operate as Special Purpose Broker-Dealer for Digital Assets	Greenberg Traurig, LLP
Jul 21 2021	EU Proposed Carbon Border Adjustment Mechanism	Greenberg Traurig, LLP
Feb 10 2012	Southern District of Florida Holds Morrison v. Nat'l Australia Bank Not Limited to Exchange Act, Also Bars RICO Claims	Greenberg Traurig, LLP
Dec 17 2020	Colorado Special Legislative Session Passes 10 Bills Aimed at Providing COVID-19 Relief	Greenberg Traurig, LLP
Oct 5 2015	FINRA Announces Proposed New Rules to Protect Senior Investors	Greenberg Traurig, LLP
May 30 2014	The Consumer Financial Protection Bureau (CFPB), Recent Developments: May 5, 2014 - May 9, 2014	Greenberg Traurig, LLP
Oct 6 2015	New Fee Disclosure Model Proposed for Broker-Dealers	Greenberg Traurig, LLP
Dec 27 2020	5 Trends to Watch in 2021 Business in Israel	Greenberg Traurig, LLP
Oct 20 2015	SEC Approves New Rule Requiring BrokerCheck Link on Websites	Greenberg Traurig, LLP
Apr 24 2020	The Pendulum Swings: Record Fine Imposed by UK Sanctions Monitor, but Only After Reduction on Review	Greenberg Traurig, LLP
Dec 28 2020	Employee Retention Tax Credit Enhanced and Extended by COVID-19 Stimulus Package	Greenberg Traurig, LLP
Jun 14 2014	The European Private Competition Enforcement Regime Reaches a Milestone	Greenberg Traurig, LLP
Jun 17 2014	An L of a Mess: Perfecting Against LLP’s - Limited Liability Partnership	Greenberg Traurig, LLP
May 26 2012	Reform of the UK Competition Regime	Greenberg Traurig, LLP
Jul 27 2023	California AB 1228 Delayed: Bill Proposes Joint-Employer Theory of Liability Between Franchisor, Franchisee in CA’s Fast-Food Industry	Greenberg Traurig, LLP
Nov 6 2015	Repo Buyers and Sellers Need to be Aware of Tax Issues	Greenberg Traurig, LLP

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