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
Jun 27 2010	Is Your Investment Adviser’s Arbitration Clause Enforceable?	Cosgrove Law, L.L.C.
Jun 27 2010	Senate and House Strike Deal on Fiduciary Duty Issue	Cosgrove Law, L.L.C.
Jun 28 2010	Mitigating Financial Risk With Tech — Not Regulation	Risk and Insurance Management Society, Inc. (RIMS)
Jun 28 2010	Bill Introduced To Secure Reduced Civil Liability For Amnesty Applicants	Sheppard, Mullin, Richter & Hampton LLP
Jun 29 2010	In the Wake of The Great Recession, Federal Courts Provide Broad Statutory Interpretations in an Effort to Protect Erisa Plan Participants	Cosgrove Law, L.L.C.
Jun 30 2010	Corporate Compliance and Ethics Programs: Why They Are Good for Your Company	Dinsmore & Shohl LLP
Jul 4 2010	The California Court Of Appeal Narrowly Interprets The Perata Mortgage Relief Act	Sheppard, Mullin, Richter & Hampton LLP
Jul 5 2010	After the Supreme Court's Free Enterprise Fund Decision, Could NERC's Level of Autonomy Face a Constitutional Challenge?	Bracewell LLP
Jul 6 2010	Bank Not Liable In Nigerian-Style Email Scam	Sheppard, Mullin, Richter & Hampton LLP
Jul 7 2010	The Supreme Court’s Sarbanes-Oxley Ruling in Plain English- Free Enterprise Fund et al. v. Public Company Accounting Oversight Board et al., No. 08-861 (U.S. June 28, 2010)	Risk and Insurance Management Society, Inc. (RIMS)
Jul 7 2010	Almost Ten Years After the Enron Meltdown: More Costs, More Prosecution, More Compliance?	The National Law Review / The National Law Forum LLC
Jul 7 2010	Privacy and Information Security for Emerging Businesses	Poyner Spruill LLP
Jul 8 2010	Arizona Federal District Court Holds That Securities & Exchange Commission Need Not Allege Wrongdoing On The Part Of CEO When Pursuing Reimbursement Under Section 304 Of Sarbanes-Oxley Act	Sheppard, Mullin, Richter & Hampton LLP
Jul 8 2010	Modernizing the Poison Pill: Lessons from Selectica, Inc. v. Versata Enterprises, Inc.	Vedder Price
Jul 8 2010	Credit Card Issuer Owes No Duty To Non-Obligor "Cardholder"	Sheppard, Mullin, Richter & Hampton LLP
Jul 10 2010	Countries Most Vulnerable to Economic Losses	Risk and Insurance Management Society, Inc. (RIMS)
Jul 11 2010	California Statute Regarding Convenience Checks Not Facially Preempted By Federal Law	Sheppard, Mullin, Richter & Hampton LLP
Jul 12 2010	Seven Questions to Assess the “Privacy Health” of Your Organization	Poyner Spruill LLP
Jul 13 2010	July Is the Month of Inalienable Rights: Life, Liberty and Payment When Due	Bracewell LLP
Jul 16 2010	Trustee's Establishment of Litigation Reserve Deemed Reasonable Under The "Prudent Man" Standard	Sheppard, Mullin, Richter & Hampton LLP
Jul 17 2010	Dodd-Frank Bill Reshapes Businesses	Dinsmore & Shohl LLP
Jul 17 2010	Congress Passes Sweeping Financial Reform Bill	Michael Best & Friedrich LLP
Jul 17 2010	CFTC Finds Two Monthly Mid-C Electricity Contracts Are SPDCs	Bracewell LLP
Jul 17 2010	Senate Passes Dodd-Frank Wall Street Reform and Consumer Protection Act	Sheppard, Mullin, Richter & Hampton LLP
Jul 19 2010	Sixth Circuit Court of Appeals Affirms 12-Year Sentence for Investment Adviser Convicted of Violating Investment Advisers Act	Cosgrove Law, L.L.C.
Jul 21 2010	Amendment of Federal Sentencing Guidelines Calls for Updating of Compliance Policies	Sheppard, Mullin, Richter & Hampton LLP
Jul 21 2010	President Obama Signs Dodd-Frank Act Into Law	Sheppard, Mullin, Richter & Hampton LLP
Jul 22 2010	No Creditors' Rights Endorsement - Alternatives	Dinsmore & Shohl LLP

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