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
Jul 22 2010	New Los Angeles Ordinance Requires Banks And Lenders To Repair Vacant Residential Property	Sheppard, Mullin, Richter & Hampton LLP
Jul 22 2010	To Be or Not to Be a Director: Ten Questions to Ask About D & O Insurance	Much Shelist, P.C.
Jul 22 2010	Ohio Federal District Court Rules That HUD's Sham Joint Venture Guidelines Are Unconstitutional	Sheppard, Mullin, Richter & Hampton LLP
Jul 23 2010	FINRA Files Proposed Revised Discovery Guide with SEC	Cosgrove Law, L.L.C.
Jul 23 2010	Dodd-Frank Redefines "Accredited Investor"	Sheppard, Mullin, Richter & Hampton LLP
Jul 24 2010	Reforming Post-Crisis Risk Management	Risk and Insurance Management Society, Inc. (RIMS)
Jul 25 2010	Congress Passes Legislation Requiring Oil, Gas and Mining Companies to Report Payments to Government	Foley Hoag LLP
Jul 25 2010	Fraud Claim Against Syndicated Lender Allowed To Proceed, Despite Express Disclaimer Of Reliance In Deal Documents	Sheppard, Mullin, Richter & Hampton LLP
Jul 26 2010	Congo Conflict Minerals Legislation Passes Congress: Affects Technology, Automotive, Mining, Jewelry, and Aerospace Companies	Foley Hoag LLP
Jul 26 2010	Whistleblowing Pays Under the Dodd-Frank Wall Street Reform Bill	Risk and Insurance Management Society, Inc. (RIMS)
Jul 27 2010	SEC Adopts Pay-to-Play Restrictions (Rule 206(4)-5)	Foley Hoag LLP
Jul 28 2010	The 255 Bank Failures Since 2008	Risk and Insurance Management Society, Inc. (RIMS)
Jul 28 2010	Tax-Exempt Financing Available to Private Entities in 2010	Bracewell LLP
Jul 29 2010	The Regulatory March to Reform Executive Compensation Practices Takes Another Step Forward	Sheppard, Mullin, Richter & Hampton LLP
Jul 29 2010	Analysis of the New Ohio Homeowner’s Association Law	Dinsmore & Shohl LLP
Jul 30 2010	Ninth Circuit Holds That Safe Harbor Provision Of The Reform Act Applies To Forward-Looking Statements Accompanied By Cautionary Language And Forward-Looking Statements Made Without Actual Knowledge Of Falsity	Sheppard, Mullin, Richter & Hampton LLP
Jul 30 2010	Impact of Dodd-Frank on Corporate Governance & Executive Compensation	Dinsmore & Shohl LLP
Jul 31 2010	One Way the Fed Could Have Mitigated the Housing Bubble? By Talking About It	Risk and Insurance Management Society, Inc. (RIMS)
Aug 1 2010	United States Supreme Court Limits Extraterritorial Reach Of Private Federal Securities Claims	Sheppard, Mullin, Richter & Hampton LLP
Aug 2 2010	Data Breaches Breaking the Bank for Businesses	Risk and Insurance Management Society, Inc. (RIMS)
Aug 2 2010	Washington Supreme Court Holds that State Statutes of Limitations Do Not Apply in Arbitration	Davis Wright Tremaine LLP
Aug 2 2010	Whistleblower Provision Likely to Increase FCPA Risk	Sheppard, Mullin, Richter & Hampton LLP
Aug 3 2010	Forty Years in Commercial Real Estate: Weathering the Cycles of Boom, Bubble and Bust	Much Shelist, P.C.
Aug 4 2010	E-payment Co. Makes Millions Selling Customer Data	Risk and Insurance Management Society, Inc. (RIMS)
Aug 6 2010	What Financial Regulatory Reform Means to Private Funds	Hunton Andrews Kurth
Aug 6 2010	"Schumer Box" Disclosure Not "Clear and Conspicuous" As a Matter of Law	Sheppard, Mullin, Richter & Hampton LLP
Aug 6 2010	Rule 10b5-1 Can Be an Effective Part of a Year-end Strategy to Lock in Capital Gains at the 2010 Rate	Vedder Price
Aug 7 2010	West Virginia and the Dodd-Frank Wall Street Reform and Consumer Protection Act	Dinsmore & Shohl LLP

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