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
Oct 22 2015	SPAC Directors Cannot Take the Protection of the Business Judgment Rule for Granted	McDermott Will & Emery
Oct 22 2015	Creative Business Combination Structures Allow SPACs to Successfully Compete With Non-SPAC Bidders	McDermott Will & Emery
Oct 22 2015	Overview of SPACs and Latest Trends: Special-purpose Acquisition Companies	McDermott Will & Emery
Oct 22 2015	Cybersecurity Means Greater Liability for Directors and Officers [VIDEO]	Foley & Lardner LLP
Oct 22 2015	Difference Between Club and Hotel Management Agreements	Greenberg Traurig, LLP
Oct 21 2015	States Challenge New SEC Rules on Small Public Offerings	Greenberg Traurig, LLP
Oct 21 2015	Top Considerations When Selecting a Strategic Corporate Partner
Oct 21 2015	Substance Over Form In Relator Share Dispute With Government	Tycko & Zavareei LLP
Oct 21 2015	CFTC Accuses Firm Manually Entering Orders Of Spoofing Scheme That Fooled Algorithmic Traders	Proskauer Rose LLP
Oct 20 2015	Stock Compensation – Updated IRS Guidance	Squire Patton Boggs (US) LLP
Oct 20 2015	Directors and Officers Insurance Digest	Wilson Elser Moskowitz Edelman & Dicker LLP
Oct 20 2015	Doing Well by Doing Good: Why Startups May Want to Consider B Corp Status	Varnum LLP
Oct 19 2015	Treasury Finalizes Regulations on the Varying Interests Rule Under Section 706	McDermott Will & Emery
Oct 19 2015	Shareholder Suit Challenging Groundbreaking Minimum-Support-To-Sue Bylaw Dismissed	Foley & Lardner LLP
Oct 19 2015	SMEs and the UK Bribery Act – Compliance May Not Be as Difficult as You Fear!	Squire Patton Boggs (US) LLP
Oct 18 2015	The English Court’s Approach to interpretation of Material Adverse Effect provisions	Morgan, Lewis & Bockius LLP
Oct 16 2015	California Amends Data Breach Notification Statute by Requiring Specific Notification Content and Expanding the Definition of Personal Information	Wilson Elser Moskowitz Edelman & Dicker LLP
Oct 16 2015	OCC Rescinds Capital Guidance	Katten
Oct 14 2015	A Shift of Emphasis at the DOJ – the Yates Memo	Greenberg Traurig, LLP
Oct 14 2015	Corporate Divorce Series: Your Cheatin’ Heart … Is Thinking About Leaving a Job Flirting or Infidelity?	Mintz
Oct 13 2015	California Governor Signs Bill Aimed At Fixing CARULLCA	Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct 10 2015	Third Circuit Decision Could Have Broad Implications For Sentencing In Federal Fraud Cases	Proskauer Rose LLP
Oct 9 2015	Delaware Supreme Court rules that friendship and business relationships together are enough to challenge director’s independence	Dinsmore & Shohl LLP
Oct 9 2015	House Passes Disclosure Modification and “4(a)(1)(1/2)” Bills	Katten
Oct 9 2015	New Report Adds Pressure For Public Companies to Voluntarily Disclose Political Spending	Covington & Burling LLP
Oct 9 2015	ESMA Adds Index CDS to EMIR Mandatory Clearing Obligations	Katten
Oct 9 2015	Effects of Schrems Ruling on International Internal Investigations	Morgan, Lewis & Bockius LLP
Oct 8 2015	SBA "Step" Program Opens Up Borders For U.S. Small Business	Greenberg Traurig, LLP

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