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

Custom text		Organization
May 19 2009	Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies	Much Shelist, P.C.
May 26 2009	The Devil Is in the Details (Part III): The Risky Intersection between Insurance Coverage and Corporate Transactions	Much Shelist, P.C.
May 26 2009	Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests	Much Shelist, P.C.
May 26 2009	Corporate Bylaws: Use Them or Lose Them
May 27 2009	Credit Card Companies Are Not Liable for Contributory Copyright Infringement	Clark & Trevithick
May 28 2009	Deeds in Lieu of Foreclosure: A Workout Strategy for Commercial Real Estate Owners and Their Lenders	Much Shelist, P.C.
May 29 2009	Illinois Supreme Court Extends a Helping Hand to Homeowners and Lenders
May 29 2009	If You Find It, They Will Come: Fundless Sponsors, a New Player in Private Equity	Much Shelist, P.C.
May 29 2009	Business as Usual? How Smart Companies Can Survive in Trying Economic Times	Much Shelist, P.C.
May 29 2009	Caution: Bumpy Roads Ahead for Your Securitized Loan	Much Shelist, P.C.
May 29 2009	Loan Prepayment Penalties in Illinois: An Update on Enforceability	Much Shelist, P.C.
May 29 2009	Buy-Sell Agreements: The Corporate Prenup	Much Shelist, P.C.
May 29 2009	Letters of Intent: Preliminary Negotiation or Binding Agreement?	Much Shelist, P.C.
May 29 2009	Before You Buy Insurance, Consider a Risk Assessment	Much Shelist, P.C.
May 29 2009	Do You Know Where Your Risks Are? Possible Dangers Lurking in E-Mails and Internal Investigations
May 31 2009	Reminder to Retailers and Restaurant Owners: Truncate Credit Card Numbers and Eliminate Expiration Dates to Avoid FACTA Litigation
Jun 1 2009	Retailers Beware: FACTA Spurs a Wave of Class Action Filings
Jun 2 2009	Maximizing Your Position in a Tough Economy: Eight Strategies Every Business Should Consider	Much Shelist, P.C.
Jun 2 2009	What The “Subprime Crisis” Really Means For Your Business	Sills Cummis & Gross P.C.
Jun 2 2009	Is Bankruptcy The Cure For Distressed Hospitals?	Sills Cummis & Gross P.C.
Jun 2 2009	A Group Approach To Coping With The Subprime Mortgage Crisis	Sills Cummis & Gross P.C.
Jun 4 2009	A Paper Tiger: The Reclaiming Seller In Bankruptcy	Sills Cummis & Gross P.C.
Jun 5 2009	Roundtable: Part I – Corporate Internal Investigations: Early Stages	Sills Cummis & Gross P.C.
Jun 5 2009	Roundtable: Part II – Corporate Internal Investigations: Later Stages	Sills Cummis & Gross P.C.
Jun 6 2009	Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Jun 30 2009	1031 Exchanges: Protecting Your Sale Proceeds from a Qualified Intermediary's Creditors	Much Shelist, P.C.
Jul 7 2009	Recent Developments in Legal Ethics, January 2005	Fairfield and Woods P.C.
Jul 20 2009	Equitable Receivership as an Alternative to Bankruptcy	Fairfield and Woods P.C.

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