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 Sort descending
Feb 4 2015	SEC Examination Priorities for 2015	Faegre Drinker
Aug 25 2020	Liu v. SEC Decision Leaves Ambiguity on Disgorgement Limitations – How to Measure “Business Expenses” Deductible from “Illegal Profits”	Faegre Drinker
Jul 17 2013	New Jersey Court Clears Way for Class Actions Seeking Mandatory Statutory Penalties in Consumer Disputes	Faegre Drinker
Feb 26 2018	Supreme Court Unanimously Holds that Whistleblowers Must First Report to the SEC Before Being Afforded Dodd-Frank Anti-Retaliation Protections	Faegre Drinker
Sep 18 2019	Best Interest Standard of Care for Advisors #10	Faegre Drinker
Feb 28 2018	European Commission Issues GDPR Guidance	Faegre Drinker
Sep 10 2020	New York’s Department of Financial Services Files First Enforcement Action Under New Cybersecurity Regulation	Faegre Drinker
Sep 20 2016	Three Parts of "Best Interest Standard of Care": Interesting Angles on the DOL’s Fiduciary Rule #20	Faegre Drinker
Aug 15 2013	Service Provider 408(b)(2) Change Disclosures	Faegre Drinker
Aug 21 2013	Life Settlement Investors Sue Auditor	Faegre Drinker
Aug 23 2013	New Guidance on Continuing Disclosure Obligations for Bond Issuers	Faegre Drinker
Oct 4 2016	Banks and Prohibited Transactions: Interesting Angles on the DOL’s Fiduciary Rule #22	Faegre Drinker
Oct 25 2019	October is National Cybersecurity Awareness Month	Faegre Drinker
Apr 2 2015	SEC Uses Its Powers under the Dodd-Frank Whistleblower Provisions to Warn Employers Against Attempting to Restrict Employees’ Ability to Report Potential Violations	Faegre Drinker
Oct 25 2016	Differential Compensation Based on Neutral Factors: Interesting Angles on DOL’s Fiduciary Rule #24	Faegre Drinker
Nov 2 2016	Reasonable Compensation for IRAs: When and How Long? Interesting Angles on the DOL’s Fiduciary Rule #26	Faegre Drinker
Sep 29 2020	Best Interest Standard of Care for Advisors #33	Faegre Drinker
Apr 25 2018	SEC Proposes Regulations to Reform Retail Investment Standards	Faegre Drinker
Apr 27 2018	SEC Cyber Unit Brings Groundbreaking Data Breach Case	Faegre Drinker
May 1 2015	SEC Releases Cybersecurity Guidance, Highlights Compliance Role	Faegre Drinker
Oct 15 2013	Dewonkify – Boehner Rule	Faegre Drinker
Nov 15 2016	Bureau of Economic Analysis Clarifies Certain Reporting Requirements for Private Funds	Faegre Drinker
Oct 21 2013	Government Shutdown Now Over – But What About Sequestration?	Faegre Drinker
Oct 29 2013	Selection and Monitoring of Target Date Funds	Faegre Drinker
May 23 2018	What Expenses Can We Pay from Plan Assets? A Brief Review of the Legal Principles and Some Common Questions	Faegre Drinker
Dec 4 2019	Best Interest Standard of Care for Advisors #19	Faegre Drinker
Dec 11 2019	Best Interest Standard of Care for Advisors #20	Faegre Drinker
Nov 3 2013	Variable Annuity Contracts May Require Continuing Attention – What Broker-Dealers Need to Know	Faegre Drinker

Subscribe to The 10 Latest Financial, Banking, & SEC Articles

Trending News