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 13 2016	Does Recent 9th Circuit Court of Appeal Decision Make It a Crime to Share Passwords to Online Accounts?	Stark & Stark
Jul 13 2016	Fizzled Minnesota Suit Against Target Officers and Directors Raises Question as to Value of Derivative Claims in Data Breach Cases	Mintz
Jul 12 2016	Insuring Against Yates: The Impact on D&O Insurance	McDermott Will & Emery
Jul 12 2016	Safe Harbor Replacement EU-US Privacy Shield Approved
Jul 12 2016	What’s In (Corporate) Name? (And How Can I Appeal Rejections?)	Faegre Drinker
Jul 12 2016	The Tokyo Stock Exchange: Gateway to the Asian Market	Greenberg Traurig, LLP
Jul 12 2016	May or May not? Further proposals to get tough on UK executive pay	Squire Patton Boggs (US) LLP
Jul 10 2016	CFTC Releases Results of CBOE Futures Exchange Rule Enforcement Review	Katten
Jul 8 2016	CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs	Katten
Jul 8 2016	CFTC Approves Clear Markets North America, Inc. as a Registered Swap Execution Facility	Katten
Jul 8 2016	California-Based Information Technology Companies Settle False Claims Act Lawsuit Alleging That They Misrepresented Company as a Small Business to Receive Specialized Federal Contracts; Agree to Pay $5.8 Million	Tycko & Zavareei LLP
Jul 8 2016	SEC Issues Proposed Rules to Increase Financial Thresholds Applicable to Smaller Reporting Companies	Michael Best & Friedrich LLP
Jul 7 2016	SEC Proposes New Rules That Would Make Available Scaled Disclosure to More Companies	McDermott Will & Emery
Jul 7 2016	SEC Proposes to Expand Qualification for Smaller Reporting Companies	Giordano, Halleran & Ciesla, P.C.
Jul 6 2016	D.C. Circuit Reopens Controversy Concerning Regulated Master Limited Partnership Taxation	Cadwalader, Wickersham & Taft LLP
Jul 3 2016	How Will the Exit of the United Kingdom from the European Union (“Brexit”) Affect U.S. Corporations Doing Business in the UK?	Vedder Price
Jul 2 2016	Holding Executives Accountable for Cybersecurity Failures	Risk and Insurance Management Society, Inc. (RIMS)
Jul 1 2016	China Accelerates the Establishment of Social Credit System	Sheppard, Mullin, Richter & Hampton LLP
Jul 1 2016	Tenth Circuit Upholds Nevada Law By Denying Stockholders Standing to Bring Claims on Behalf of Nevada Corporation	Sheppard, Mullin, Richter & Hampton LLP
Jul 1 2016	False Claims Act Update: As anticipated, the DOJ follows the RRB’s lead, nearly doubling FCA penalties	Morgan, Lewis & Bockius LLP
Jul 1 2016	Brexit: Keep Calm and Carry On	Squire Patton Boggs (US) LLP
Jun 30 2016	Directors and Officers Insurance—Issues to Consider Before Claim Arises	McDermott Will & Emery
Jun 30 2016	Reminder to Notify UK Companies House of Your PSCs From Today	Squire Patton Boggs (US) LLP
Jun 28 2016	California Court of Appeal Confirms that Corporations Code § 1601 Does Not Require Corporations to Ship Records Maintained Out of State to California	Sheppard, Mullin, Richter & Hampton LLP
Jun 28 2016	Six Things to Consider When Doing Business in Sub-Saharan Africa	Covington & Burling LLP
Jun 27 2016	Are Breach Of Fiduciary Duty And Breach Of Governing Documents “Non Bis In Idem”?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun 26 2016	Rules Altered Governing Private Investment Ownership in Casinos	Greenberg Traurig, LLP
Jun 24 2016	Brexit, Here We Come (or Go)	Sheppard, Mullin, Richter & Hampton LLP

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

Trending News