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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Sep 13 2016	Interesting Angles on the DOL’s Fiduciary Rule #19: Advisors' Use of "Hire Me" Practices.	Faegre Drinker
Sep 28 2016	Retirement Plan Documentation and Prudent Recommendation: Interesting Angles on the DOL’s Fiduciary Rule #21	Faegre Drinker
Oct 11 2016	Securities: "Tandy" Language Goes the Way of the Dodo	Faegre Drinker
Oct 15 2013	Shutdown Day 14 Recap	Faegre Drinker
May 12 2015	SEC’s New Guidance on the Use of Administrative Proceedings: “It’s Up to Us.”	Faegre Drinker
Nov 5 2013	Department of Labor (DOL) Proposed Regulation Sent to Office of Management and Budget (OMB)	Faegre Drinker
Jun 5 2018	Audit Committees Bridging the GAAP	Faegre Drinker
Jun 13 2018	FTC Gives Final Approval to PayPal Settlement Related to Allegations Involving its Venmo Payment Service	Faegre Drinker
Dec 27 2016	Three Kinds of Level Fee Fiduciaries . . . and What’s A “Level Fee?”: Interesting Angles on the DOL’s Fiduciary Rule #30	Faegre Drinker
Feb 14 2020	SEC Gives Management’s Discussion and Analysis (MD&A) a Makeover	Faegre Drinker
Apr 3 2014	SEC v. Jacobs May Signal Limit to Duty of Trust or Confidence Required to Prove Insider Trading Based on Misappropriation Theory - Securities and Exchange Commission	Faegre Drinker
Sep 19 2018	Best Interest and Best Practices: Improving Retirement Outcomes #2	Faegre Drinker
Nov 20 2020	IRS Launches Another Misguided Missile at Paycheck Protection Program Loan Recipients	Faegre Drinker
Apr 14 2014	FINRA's (Financial Industry Regulatory Authority) Reminder About Rollovers: News To Many	Faegre Drinker
Apr 22 2014	Philadelphia Pregnancy Accommodation Law: Notice Requirement Begins on April 20, 2014	Faegre Drinker
Sep 2 2015	FinCEN Proposes New Rules for Investment Advisers	Faegre Drinker
Jun 7 2017	“Last Minute” Fiduciary Rule Check-In: What Plans and Arrangements Are Covered	Faegre Drinker
Apr 10 2020	COVID-19: SEC Announces Trading Suspensions and Focuses on Potential Fraud	Faegre Drinker
Dec 3 2020	New Trademark Fees Implemented by the United States Patent and Trademark Office	Faegre Drinker
May 7 2014	Loss of Confidential Electronic Data: New Risks for Financial Professionals	Faegre Drinker
Dec 10 2020	What’s in a Name? Not a Certified Class	Faegre Drinker
Dec 17 2020	SEC Adopts Final Fund of Funds Rule	Faegre Drinker
Jul 2 2012	SEC Adopts Final Rule Requiring Listing Standards for Compensation	Faegre Drinker
Sep 21 2012	Are Biosimilars the Next Generation of Small Drug Manufacturers?	Faegre Drinker
Jan 20 2021	Wrap Fee Programs Under Continued Scrutiny and Use of Investment Advisory Product Committees	Faegre Drinker
May 20 2020	Delaware Supreme Court Upholds Validity of Exclusive Federal Forum Provisions	Faegre Drinker
Jan 21 2021	The Second Phase of the SEC’s Reg BI Exams	Faegre Drinker
Aug 20 2014	Broker-dealers, Provider call centers, and RIAs Providing Compliant Services	Faegre Drinker

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