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
Nov 6 2017	SEC Approves New PCAOB Standard for Auditor's Report	Jones Walker LLP
Nov 14 2017	SEC Chairman Jay Clayton’s Remarks on ICOs	Proskauer Rose LLP
May 14 2021	SEC Emerges as Main Regulator of Cryptocurrency	Barnes & Thornburg LLP
May 22 2016	SEC Enforcement’s Increased Focus on Private Equity	Proskauer Rose LLP
Dec 31 2010	SEC Fee Rate Adjustment for Section 6(b), Section (13e) and Section 14(g) to Be Effective December 27, 2010	Sheppard, Mullin, Richter & Hampton LLP
Sep 23 2012	SEC Proposes Amendments to Allow General Solicitation in Certain Private Offerings Pursuant to JOBS Act	Hunton Andrews Kurth
May 24 2015	SEC Proposes Amendments to Form ADV and Performance Information Recordkeeping Requirements	Proskauer Rose LLP
Jan 23 2015	SEC Proposes Amendments to Registration Requirements Further Implementing the JOBS Act	Greenberg Traurig, LLP
Mar 28 2015	SEC Regulation A+: More Access to Capital for Small Companies With Less Regulation?	Dinsmore & Shohl LLP
Sep 28 2011	SEC Rulemaking: Guide to Newly Effective Eligibility Criteria to Replace Credit Ratings in Public Offerings	Sheppard, Mullin, Richter & Hampton LLP
Feb 24 2017	SEC Whistleblower Program: What is the SEC Form TCR?	Zuckerman Law
Jan 30 2014	Section 162(m): Actions that Should be Taken by March 31, 2014, and/or in this Year's Proxy to Avoid the $1,000,000 Deduction Limitation	Greenberg Traurig, LLP
Jul 23 2013	Securities and Exchange Commission (SEC) Adopts Rules Permitting General Solicitation in Private Offerings Limited to Purchases by Accredited Investors	Mintz
Oct 14 2020	Securities and Exchange Commission Rescinds Guide 3	Dinsmore & Shohl LLP
Jan 27 2020	Seed Funding Basics	Mintz
Sep 23 2016	Senate Expected to Vote on Short-Term EB-5 Extension on September 27	Greenberg Traurig, LLP
Mar 2 2022	SEP's and FRAND Laws Take Unexpected Turns Throughout Germany, Europe	McDermott Will & Emery
Aug 15 2013	Service Provider 408(b)(2) Change Disclosures	Faegre Drinker
Mar 7 2014	Should Corporations Conserve Water Because A Shareholder Believes It’s The Right Thing To Do?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun 30 2014	Six Things SEC Chair White Wants Directors to Know About How to Avoid Being on the Receiving End of an Enforcement Action	Barnes & Thornburg LLP
Sep 22 2011	Social Media in the Workplace: NLRB Offers Guidance for ALL Employers on Offensive Posts and Social Media Policies	Much Shelist, P.C.
Jan 21 2021	SPACs - Taking the Markets and M&A World by Storm	Varnum LLP
Mar 25 2011	SPACs 2.0: New SPAC Rules Changes Approved By NASDAQ And NYSE AMEX And New Market Features Make SPACs A More Attractive Investment Vehicle In 2011	Sheppard, Mullin, Richter & Hampton LLP
Apr 12 2021	Square's Counsel Lead Chrysty Esperanza \| Leaders Moving Business Forward [VIDEO]	McDermott Will & Emery
Feb 13 2020	Suitability Model Crosses the Finish Line	Carlton Fields
May 16 2022	Supplier Alert: Key Changes in Stellantis/FCA New Terms and Conditions	Foley & Lardner LLP
May 10 2020	Supreme Court Decides Kelly v. United States	Faegre Drinker
Jul 9 2018	Supreme Court Decides Lucia – But the Saga Continues	Barnes & Thornburg LLP

Subscribe to The 10 Latest Financial, Banking, & SEC Articles

Trending News