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 Sort descending
Nov 16 2020	Dissolving the Stigma around Behavioral Health: Key Takeaways \| HLTH Matters GoLIVE Webinar Series [VIDEO]
Mar 11 2022	FDA Publishes Proposed Rule on National Standards for The Licensure of Wholesale Drug Distributors and Third-Party Logistics Providers as Required by The Drug Supply Chain Security Act
Jun 14 2021	What to Do When a Departing Employee Downloads Information
Apr 8 2022	SBA Updates Size Standards for Many Industries
Jul 13 2015	Fed, CFPB Heads to Testify; SEC, CFTC to Hold Meetings
Jun 15 2017	USCIS Seeks Input on Revised EB-5 Capital At Risk Requirement
Jul 20 2023	SBA Size Standards: Affiliation Considerations Arising under Stock Options, Convertible Securities, and Agreements to Merge
May 5 2022	SEC Bolsters Crypto-Regulatory Team
Feb 1 2016	Tax-Writers Ponder Path Forward for 2016; U.S., EU Move Forward with BEPS Implementation
Sep 13 2021	On Her Shoulders, Episode 9 - Interview with Sara Brand and Kerry Rupp [PODCAST]
Feb 4 2021	Relief for Partial Plan Terminations May Be “Too Little, Too Early”
Oct 7 2021	Legal Implications of Blockchain in Supply Chain: What’s Law Got to Do With It?
Nov 27 2023	2023 Going Digital Health’s Behavioral Health Tech Conference: Key Investment Takeaways
Jun 6 2016	Hensarling to Release Dodd-Frank Replacement as House to Vote on Puerto Rico Bill; CFPB, Federal Reserve Propose Long-Awaited Rulemakings
Sep 12 2020	When To Pull the Plug: Factors to Consider in Deciding Whether to End The Relationship with A Business Partner (Part 1)
Sep 25 2020	Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners
Mar 25 2015	UDAAP Council Weekly UDAAP Standards Report - 3/25/2015 -- Unfair, Deceptive, or Abusive Acts or Practices
Jul 31 2018	EBA’s Draft EU Risk Retention Regulatory Technical Standards
Jun 30 2023	SEC Adopts Pay Versus Performance Disclosure Rules
Aug 28 2015	Will China’s Currency Devaluation Complicate the Trans-Pacific Partnership?
Apr 20 2020	Time for A Buy/Sell Agreement? Private Company Owners May Need to Put a Partner Exit Plan in Place
Jul 28 2023	SBA Size Standards: Affiliation Based on Common Management
Dec 21 2020	BBVA Receives Holiday Gift From Dallas Appellate Court: The Decision Includes Guidance for Private Company Owners
Nov 2 2015	House Financial Services Committee To Hold Mark-Up; Several Agencies Propose, Finalize Various Rules
Feb 1 2016	Puerto Rico, Fiduciary Rule At Front of Agenda; FSOC, OFR to Hold Fifth Annual Conference as SEC Considers Equity Market Structure Issues
Aug 11 2022	Speeding Up the Process – New Deadlines and Ability to Fix Errors – Proposed Changes to Federal DBE Program
Sep 27 2021	On Her Shoulders, Episode 10 - Interview with Alexandria McCombs [PODCAST]
Nov 30 2017	DOJ Issues New FCPA Policy Offering Incentives to Encourage Disclosure of Foreign Bribery and Corruption Misconduct

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

Trending News