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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Jun 13 2014	Toms River, New Jersey Wal-Mart Hits A Snag re: Zoning Permits	Giordano, Halleran & Ciesla, P.C.
May 26 2020	Remote Only Shareholder Meetings Now Permitted During a State of Emergency Under the Amended New Jersey Business Corporation Act	Giordano, Halleran & Ciesla, P.C.
Apr 3 2019	March 2019 Regulatory Developments	Giordano, Halleran & Ciesla, P.C.
Feb 3 2013	SEC Approves Public Company Accounting Oversight Board "PCAOB" Auditing Standard No. 16, Communications with Audit Committees	Giordano, Halleran & Ciesla, P.C.
Jul 10 2018	FASB 2017-01	Giordano, Halleran & Ciesla, P.C.
Jul 23 2015	Executive Compensation SEC Proposed Rules	Giordano, Halleran & Ciesla, P.C.
Jan 20 2012	New NJ Law Provides Corporate Tax Credits To Foster Job Creation	Giordano, Halleran & Ciesla, P.C.
Sep 4 2014	Financial Accounting Standards Board (FASB) Issues New Standard Regarding Disclousers By Corporate Managers	Giordano, Halleran & Ciesla, P.C.
Dec 3 2014	House Passes “The Financial Institutional Bankruptcy Act of 2014″	Giordano, Halleran & Ciesla, P.C.
May 30 2013	D.C. Court Upholds Stark Restriction on Under Arrangements Joint Ventures	Giordano, Halleran & Ciesla, P.C.
Jul 27 2017	New Jersey Healthcare: June 19, 2017 Regulatory Developments	Giordano, Halleran & Ciesla, P.C.
Jun 5 2014	SEC (Securities and Exchange Commission) Currently Examining Potential Changes To “Accredited Investor” Definition	Giordano, Halleran & Ciesla, P.C.
Jul 24 2013	SEC Adopts Final Rule Lifting Ban On General Solicitation	Giordano, Halleran & Ciesla, P.C.
Feb 14 2020	EMPLOYERS BEWARE: $2.4M Jury Verdict Serves as a Reminder of the Duty Employers Owe to Their Employees	Giordano, Halleran & Ciesla, P.C.
Apr 30 2014	Important Changes that LLC Members Should be Concerned About Regarding New LLC Law in New Jersey	Giordano, Halleran & Ciesla, P.C.
Feb 3 2016	Three’s A Crowd: Dissociation Under New Jersey’s RULLCA	Giordano, Halleran & Ciesla, P.C.
Feb 12 2013	New $25 Million Angel Investor Tax Credit Program to Encourage Early Investment in New Jersey’s Innovative and Emerging Technology Businesses	Giordano, Halleran & Ciesla, P.C.
Jan 31 2022	New Law Requires Notice of Employee Vehicle Tracking	Giordano, Halleran & Ciesla, P.C.
Oct 29 2020	Pharmaceutical Price Reduction Approaches	Giordano, Halleran & Ciesla, P.C.
Nov 20 2013	November 2013 New Jersey Regulatory Developments	Giordano, Halleran & Ciesla, P.C.
Jul 30 2021	Is It Time to Mask Up Again?	Giordano, Halleran & Ciesla, P.C.
Jan 9 2020	New Jersey Department of Revenue and Enterprise Services Announces Streamlined Business Reinstatement and Dissolution Program	Giordano, Halleran & Ciesla, P.C.
May 26 2021	A Return to Normal?	Giordano, Halleran & Ciesla, P.C.
Apr 17 2020	CMS Makes Initial Distribution from CARES Act Provider Relief Fund	Giordano, Halleran & Ciesla, P.C.
Dec 28 2020	New Jersey Legislature Approves New Jersey Economic Recovery Act Of 2020, Paving Way For New Economic Growth Tools And Incentive Programs	Giordano, Halleran & Ciesla, P.C.
Mar 22 2013	Benefits of Quotation on the Over-The-Counter (OTC) Markets in lieu of Exchange Act Registration	Giordano, Halleran & Ciesla, P.C.
Dec 13 2016	SEC Issues Proposed Rules Requiring Use of Universal Proxy	Giordano, Halleran & Ciesla, P.C.
Dec 19 2017	Labor Commissioner Rules in Favor of Trucking Company on Owner Operator Issue	Giordano, Halleran & Ciesla, P.C.

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