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.

National Law Review Financial Regulation and Banking Law TwitterFor 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

Title
Custom text Organization
Jan
19
2021
$125 Million Deutsche Bank Settlement with SEC/DOJ Newest in Line of Several Costly Resolutions Faegre Drinker
Jan
19
2021
The Anti-Money Laundering Act of 2020: Congress Enacts the Most Sweeping AML Legislation Since Passage of the USA PATRIOT Act Greenberg Traurig, LLP
Jan
19
2021
Telecom Alert - 6 GHz Band PN; T-Band Mandate Repealed; Verizon Citing Petition Dismissed; Joint Use Ruling; 2.5 GHz Auction Procedures; Pai Suggests C-Band Fund USF - Vol. XVIII, Issue 3 Keller and Heckman LLP
Jan
19
2021
California Independent Contractor Classification Becomes Even More Thorny, as California Supreme Court Holds Strict ABC Test Applies Retroactively Proskauer Rose LLP
Jan
19
2021
OCC Charters the First National Crypto Bank Hunton Andrews Kurth
Jan
19
2021
USDA Publishes Final Hemp Regulations Beveridge & Diamond PC
Jan
19
2021
ESG in the First 100 Days? ArentFox Schiff LLP
Jan
19
2021
BSA/AML Update: Significant New Requirements Ahead Vedder Price
Jan
19
2021
New Year’s Resolutions Don’t Have to Be about Weight Loss: Why Conducting a Trademark Audit Should Be Part of Your Company’s New Year’s Resolutions Faegre Drinker
Jan
19
2021
The Ninth Circuit Puts the Brakes on Truckers’ California Meal and Rest Break Claims Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2021
Treasury Releases Final Regulations on Carbon Capture Credits Bracewell LLP
Jan
19
2021
COVID-19: Paris Employment Newsletter - Remote Work: What is New in 2021? K&L Gates
Jan
19
2021
Midnight Regulations Spell Trouble for Nonimmigrant Workers & Their Employers Womble Bond Dickinson (US) LLP
Jan
19
2021
Keys to Performing a Corporate Compliance Audit Oberheiden P.C.
Jan
19
2021
Supreme Court Issues Decision in City of Chicago v. Fulton Ward and Smith, P.A.
Jan
19
2021
First Reported FCA CARES Act Settlement Announced Epstein Becker & Green, P.C.
Jan
19
2021
Vehicle Manufacturers Face Cybersecurity Challenges ArentFox Schiff LLP
Jan
19
2021
DOJ Warns of Business Email Compromise Scheme Targeted at PPP Loan Recipients Robinson & Cole LLP
Jan
19
2021
Senators’ Letter to EEOC Signals Scrutiny of AI Bias Hunton Andrews Kurth
Jan
19
2021
Manufacturers Must Not be Blind to Their Rights Against Counterfeiters K&L Gates
Jan
19
2021
Will Trend of Favorable Decisions From Occupational Safety and Health Review Commission Last? Jackson Lewis P.C.
Jan
19
2021
Labor Department Issues Another Minimum Wage Rule for High-Skilled Workers Jackson Lewis P.C.
Jan
19
2021
President Trump Lifts Travel Ban from Schengen Countries, UK, Ireland, and Brazil Greenberg Traurig, LLP
Jan
19
2021
COVID-19: Insurance - The UK Supreme Court Judgment Brings Positive News for Policyholders in FCA's Business Interruption Test Case K&L Gates
Jan
19
2021
EEOC Proposes New Rules on Wellness Programs McDermott Will & Emery
Jan
19
2021
Learning from the Mistakes of Others: OCR Releases Audit Report Sheppard, Mullin, Richter & Hampton LLP
Jan
19
2021
What Type Of Crime Is Securities Fraud In California? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
18
2021
THE CLOCK IS TICKING: Huge TCPA Appeal to Sixth Circuit May Result in Biggest Decision of All Time– Here’s How YOU Can Help Troutman Amin, LLP
 

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