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
Dec 14 2015	‘Harvest’ Built-in Losses to Offset Capital Gains – Trade Rule	Greenberg Traurig, LLP
Oct 18 2014	‘Jersey Shore’ Star Pleads Not Guilty to Tax Fraud	McBrayer, McGinnis, Leslie and Kirkland, PLLC
Aug 11 2020	‘Lost Wages Assistance’ Program to Boost Unemployment Insurance Benefits	Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Jun 30 2021	‘No Concrete Harm, No Standing,’ Divided Supreme Court Reaffirms in Fair Credit Reporting Act Case	Jackson Lewis P.C.
Jun 29 2021	‘No Concrete Harm, No Standing’: Supreme Court Reverses Judgment Where Class Members Did Not Have Standing	Greenberg Traurig, LLP
Nov 2 2021	‘No-Poach’ Agreements – EU Catching up With the US on Anti-Competitive Recruitment Practices	Squire Patton Boggs (US) LLP
Jun 8 2023	‘POWR’ Play: Colorado Law Tips the Scale in Favor of Employees Regarding Employment Claims, Nondisclosure Agreements	Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Sep 12 2022	‘Rent-A-Legal-Expert’: How Financial Services Firms Are Capitalising On Interim Legal Talent	Major Lindsey & Africa
Dec 22 2011	‘Tis the Season to be Budgeting	Greenfield/Belser Ltd.
Nov 28 2022	‘Tis the Season… to Consider ESG Investments in Your 401(k) Plan	Jackson Lewis P.C.
Feb 25 2021	‘X-Rated’: SEC Sues Morningstar	Norris McLaughlin P.A.
Jul 26 2012	‘Your Baby Can Read,’ Targeted for Dubious Ads, Closes Its Doors	Ifrah Law
Dec 27 2023	’Tis the Season for California’s 2024 Legislative Update: What Employers Need to Prepare for	Greenberg Traurig, LLP
Dec 20 2017	’Tis the Season to Answer Employer Shared Responsibility Payment Letters From the IRS	Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb 7 2022	“Administrative History?” – President Releases Guidebook for Infrastructure Law	Squire Patton Boggs (US) LLP
Jul 30 2013	“Affordable Care Act” Creates Additional Tax Complication for Flow Through Entities	ArentFox Schiff LLP
Nov 18 2019	“Ain’t No River Wide Enough”: Second Circuit Says No Per Se Bar to Extraterritorial Application of Section 1782	Proskauer Rose LLP
Aug 20 2018	“Airing Out the Denny Crane Room”: Recent SEC Action Emphasizes Need for Effective Disclosure Controls and Procedures for Executive Perquisites	Sheppard, Mullin, Richter & Hampton LLP
Jul 15 2021	“All Aboard” as Guerlain Departs from The Norm: The General Court of The EU Finds Distinctive Character in Boat Hull Shaped Lipstick Packaging	K&L Gates
Jun 27 2022	“All the right notes, but not necessarily in the right order” – previewing your investigatory record-keeping requirements (UK)	Squire Patton Boggs (US) LLP
Jan 21 2015	“Appraisal Arbitrage” Receives Boost from Delaware Court of Chancery	Mintz
Apr 6 2022	“Approval to Energize” – Texas’s Power Grid Operator Issues New Guidance
Jul 7 2015	“As-Is, Where-Is” Disclaimer – Does It Work As You Expect In An Aircraft Sale?	Steptoe & Johnson PLLC
Dec 17 2020	“Bee Better Certified™ Seal” That Tells Consumers Certified Ingredients Are Grown in Ways That Support Bees Gains Traction	Keller and Heckman LLP
Nov 17 2015	“Better, Faster, Stronger” - Identifying and Protecting your Competitive Differentiators	Foley & Lardner LLP
Jun 27 2016	“Brexit” Dominates, as Financial Markets Roil	Squire Patton Boggs (US) LLP
Feb 12 2015	“Bricks of Money” – Report of Foreign Bank and Financial Accounts (FBAR)	Mahany Law
Jan 7 2019	“Bring Out Your Dead!”	Bracewell LLP

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