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
Jun 21 2018	Vague FTC Order Addressing Data Security Struck Down by Federal Appellate Court	Jackson Lewis P.C.
Jun 21 2018	FTC Announces Series of Hearings on Competition and Consumer Protection	Covington & Burling LLP
Jun 20 2018	Are You Ready for the New Prop 65 Warnings? What Commercial Property Owners and Businesses Need to Understand to Be Prepared	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun 20 2018	SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2	Proskauer Rose LLP
Jun 20 2018	Division of Corporate Finance Releases Updated C&DIs	Proskauer Rose LLP
Jun 20 2018	Facebook establishes disclosure requirements for “political advertising” - includes issue advocacy and nonpartisan public policy communications	Godfrey & Kahn S.C.
Jun 20 2018	Department Of Business Oversight Fails In Bid To Deny The Right To A Jury Trial	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun 19 2018	Three Lessons from AT&T/Time Warner and Three Strategies for Future Vertical Transactions	McDermott Will & Emery
Jun 19 2018	Chancery Court Finds Request For Specific Enforcement Of A Partnership Interest Call Right Is Proved By Clear and Convincing Evidence	K&L Gates
Jun 19 2018	New Law Requires SEC to Expand Regulation A+ To Exchange Act Reporting Companies	Sheppard, Mullin, Richter & Hampton LLP
Jun 19 2018	UK trade union representative unfairly dismissed despite unlawful misuse of confidential information. Really?	Squire Patton Boggs (US) LLP
Jun 19 2018	Do Limited Liability Corporations Exist In California Law?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun 19 2018	Research Reports Say Risks to Smartphone Security aren't Phoney	K&L Gates
Jun 19 2018	Planning for a Catastrophe	Jones Walker LLP
Jun 15 2018	Manager is Entitled to Books and Records in Capacity as Manager, and as a Member Under the LLC Agreement, Despite Assertion of Improper Purpose	K&L Gates
Jun 15 2018	Misunderstanding Regarding Dates Does Not Provide Grounds to Reform Earn-Out Provision in Purchase Agreement, Rules Chancery Court	K&L Gates
Jun 15 2018	LabMD Ruling Heralds a New Era in Data Security Regulation	Womble Bond Dickinson (US) LLP
Jun 15 2018	What is a whistleblower reward?	Zuckerman Law
Jun 15 2018	Suicide Discussions in the Workplace	Risk and Insurance Management Society, Inc. (RIMS)
Jun 15 2018	Whom Do You Serve?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jun 14 2018	Chancery Court Denies In Part Motion To Dismiss Breach Of Contract And Breach Of Fiduciary Duties Claims	K&L Gates
Jun 13 2018	United States Supreme Court Clarifies Extent of American Pipe Tolling in Class Actions	Squire Patton Boggs (US) LLP
Jun 13 2018	Supreme Court Holds that Successive Class Actions Must Be Filed Within the Statute of Limitations; American Pipe Tolling Doctrine Applies Only to Individual Actions	Polsinelli PC
Jun 13 2018	Thinking of Selling Your Family Business? Some Preliminary Steps.	Murtha Cullina
Jun 13 2018	Contracts with Foreign Companies May Require a Rewrite	Sheppard, Mullin, Richter & Hampton LLP
Jun 12 2018	China Agritech: The Supreme Court Ends Class Action “Stacking”	Foley & Lardner LLP
Jun 12 2018	Proposed Anti-Terror Laws to give Law Enforcement Access to Personal Data	K&L Gates
Jun 11 2018	Class Action Stacking Is Not Permitted, U.S. Supreme Court Rules	Jackson Lewis P.C.

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