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
Dec 14 2015	Section 12(g)(1)(A) of JOBS Act – How SEC Is Putting Words In Congress’ Mouth	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 12 2015	Japan FSA Publishes Draft Enforcement Orders, Cabinet Ordinances, and Supervisory Guidelines for Article 63 Exemption	Morgan, Lewis & Bockius LLP
Dec 11 2015	Couple Of Points About Receiverships in North Carolina Business Court	Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Dec 10 2015	Corporate Negligence in Medical Malpractice	Stark & Stark
Dec 10 2015	Best Practices to Avoid Common FCPA Violations: Gifts, Meals, and Entertainment
Dec 9 2015	Corporate Acquisitions and Employment Verification Issues	McDermott Will & Emery
Dec 9 2015	Top 10 Largest Shareholders of Non-Publicly Traded Foreign Corporation May be Held Liable for Unpaid Wages for Services Performed in New York State	Mintz
Dec 9 2015	WTO Country-of-Origin Labelling (COOL) Decision Puts Congress on Clock	Dickinson Wright PLLC
Dec 9 2015	Change Gathers Pace – Europe’s Plans for Tax Transparency and Common Tax Base	Covington & Burling LLP
Dec 9 2015	Choosing Right Path for Liquidity: Business and Personal Considerations	Foley & Lardner LLP
Dec 9 2015	FAST Act - Capital Markets Provisions	Bracewell LLP
Dec 9 2015	Corporate Divorce Series: Is Employee Solicitation New Kind of Custody Dispute?	Mintz
Dec 8 2015	Regulation Crowdfunding: Long Wait Is Over, But Is Equity Crowdfunding D.O.A.?	Mintz
Dec 8 2015	Crossing Borders: Employment Considerations – Planning Ahead	Greenberg Traurig, LLP
Dec 7 2015	New Partnership Audit Rules Impact Both Existing and New Partnership and LLC Operating Agreements	McDermott Will & Emery
Dec 7 2015	Africa Update for December 3, 2015	Mintz
Dec 4 2015	Proxy Advisory Firms Release Policy Updates for 2016	Katten
Dec 4 2015	End of Year Considerations for Equity Compensation Plans	Morgan, Lewis & Bockius LLP
Dec 4 2015	ISS Updates Proxy Voting Policies for 2016 Proxy Season	Hunton Andrews Kurth
Dec 4 2015	November 2015 Tax Credits and Incentives Update	Horwood Marcus & Berk Chartered
Dec 4 2015	Target to Pay Nearly $40 Million to Settle with Banks over Data Breach; Total Costs Reach $290 Million	Polsinelli PC
Dec 3 2015	Majority Owner’s New Blueprint for Forcing out Minority Owners	Dinsmore & Shohl LLP
Dec 3 2015	Change in UK Treatment of Dual-Resident Companies May Affect U.S. Tax Planning	Bilzin Sumberg
Dec 2 2015	Sell-abrating Sensibly re: Social Media Campaigns	Sterne, Kessler, Goldstein & Fox P.L.L.C.
Dec 2 2015	Supreme Court May Finally Weigh In On Implied False Certification Liability	Polsinelli PC
Dec 2 2015	Misleading Case For Majority Vote Standard	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 2 2015	Role of Talent in Site Selection for Manufacturers	Foley & Lardner LLP
Dec 2 2015	Piercing The Corporate Veil Takes More Than Just Fraud By The Individual	Mintz

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