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

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Jul 21 2021	Democratic House Passes Bill to Give FTC its Power Back	Troutman Amin, LLP
Dec 18 2020	TCPA NIGHTMARE: Court Grants $122k Summary Judgment Against Debt Collector for Using Noble Predictive Dialer to Contact Revoking Debtor– CEO Must Face Jury on Personal Liability	Troutman Amin, LLP
Jul 19 2023	BIG PRIVACY NEWS: CA Court Dismisses CIPA Claims Against Build.com!	Troutman Amin, LLP
Aug 17 2023	TWO BUTTONS, NO EFFECT: Court Refuses to Compel Arbitration In TCPA Suit Where Webform Had Two Submit Options	Troutman Amin, LLP
Sep 23 2020	Zillow Rockets Up the List of Top Robocallers: 9MM Calls in August, 2020 Make Zillow 5th Largest Robocaller in the Nation (Maybe)	Troutman Amin, LLP
Feb 8 2023	THINGS THAT MAKE YOU GO HMMMM! CFPB Circulated An Advisory Opinion On Digital Mortgage Comparison-Shopping Platforms	Troutman Amin, LLP
Feb 29 2024	SMALL BUSINESSES ANSWERED: FCC’s One to One Consent Will Not Only Harm Small Businesses But Consumers Too.	Troutman Amin, LLP
Mar 4 2024	CFPB Continues to Tie Lead Gen’s Hands	Troutman Amin, LLP
Nov 9 2020	Bank Stuck in Debt Collection Robocall Suit: Allegations Bank Called Consumer up to 8 times Per Day Sufficient to Constitute Invasion of Privacy	Troutman Amin, LLP
Jun 16 2021	Facebook Fn7 Proves Costly: First Case Holding LiveVox System May be ATDS Under Facebook FN7 is Out—But There’s a Silver Lining [PODCAST]	Troutman Amin, LLP
Jul 16 2021	Court Allows Plaintiff to Sue Employees of TCPA Defendant Directly After Company Claimed a Lack of Funds	Troutman Amin, LLP
Aug 2 2021	VIRGINA IS FOR LOVERS (of DNC Claims): New Case Confirms $5,000.00 Per Call State Private Right of Action Against Marketers	Troutman Amin, LLP
Aug 11 2023	REMARKABLE RUN: TCPAWorld Has Produced A Series of High Profile Appellate Court Rulings Recently and It Is Worth Reflecting[Video]	Troutman Amin, LLP
Sep 15 2023	DELAWARE’s GOVERNOR HAS SIGNED INTO LAW HB154, Making DE the 13th State to Enact Consumer Data Privacy Laws	Troutman Amin, LLP
Mar 10 2021	Victory by Default: TCPA Defendant Ends up Winning a TCPA Case By Doing Nothing At All	Troutman Amin, LLP
Apr 27 2021	Congress Holds Hearing on FTC Powers– Watch Here	Troutman Amin, LLP
Apr 29 2021	FEELING THE HEAT: Mortgage Company Blasted in New DNC TCPA Class Action–And there Are Lessons Here	Troutman Amin, LLP
May 18 2021	Out of the Frying Pan: Another Defendant Ends up in State Court After Raising Article III Issues	Troutman Amin, LLP
Jun 11 2021	Subway Can’t Enforce Arbitration: Appellate Court Reminds that Consumer Experience is Just as Important as Content of Disclosure	Troutman Amin, LLP
Jul 28 2021	Bright line: Not Interested is Not a Revocation	Troutman Amin, LLP
Aug 16 2023	LIARS AND SCAMMERS: Numeracle BLASTS Carriers and Analytics Engines For Falsely Labeling Calls and then Profiting Off of “Remediation” in New FCC Filing	Troutman Amin, LLP
Nov 8 2021	Popular Lead Supplier Bails Out Seller With Critical Consent Data Sufficient to Decertify Class	Troutman Amin, LLP
Sep 21 2022	Vital and Worthless: How Indemnity Clauses Mean Everything and Nothing to the TCPAWorld All at the Same Time	Troutman Amin, LLP
Sep 23 2019	TCPA Nitty Gritty: Plaintiff’s Use of A Fake British Accent Did Not Revoke Consent and an Agent Admitting That An “Autodialer” Was Used Does Not Prove ATDS Usage in TCPA Cases	Troutman Amin, LLP
Apr 16 2021	Prerecorded Recall Disaster: Automated Messages Urging Mayoral Recall Lead to Certified TCPA Class Action	Troutman Amin, LLP
Oct 6 2020	Meanwhile, in Maryland: Disbarred Attorney Seeks Sanctions Against TCPA Defendant for Arguing that His Number Belonged to a Law Firm	Troutman Amin, LLP
Jan 29 2024	Deadline Set: Comment Date for Small Businesses to Weigh in on FCC’s One-to-One Consent Rule is Set and Here is Everything You Need to Know	Troutman Amin, LLP
Feb 27 2024	BOGUS?: Is TCR’s Foreign Ownership A Threat To National Security? They Just Retained Latham & Watkins to Convince the FCC They Are Not	Troutman Amin, LLP

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