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
Jan 23 2015	2015 Economic Outlook. Blue Skies Ahead.	Bilzin Sumberg
Jan 23 2015	U.S. Sentencing Commission Proposes Amendments to Widely Criticized Economic Crime Sentencing Guidelines	Proskauer Rose LLP
Jan 23 2015	CIO Magazine Highlights Cost and Speed as 2015’s Outsourcing Trends to Watch	Morgan, Lewis & Bockius LLP
Jan 22 2015	Chasing the Gatekeepers	Barnes & Thornburg LLP
Jan 22 2015	Tips for Israeli Entrepreneurs Seeking U.S. Investors	Greenberg Traurig, LLP
Jan 22 2015	First Circuit Reaffirms False Claims Act’s “First-to-File” Bar as a Broad Jurisdictional Limit	Sheppard, Mullin, Richter & Hampton LLP
Jan 22 2015	Latin America in 2015: A Year of Challenges and Opportunities	Covington & Burling LLP
Jan 21 2015	Five Cybersecurity Questions that General Counsel Should Consider In Light of the Sony Breach	Covington & Burling LLP
Jan 21 2015	President Obama Addresses Privacy, Cybersecurity in State of the Union	Covington & Burling LLP
Jan 20 2015	Fair Debt Collection: You Still Can’t Violate the FDCPA by Complying With It…	Faegre Drinker
Jan 20 2015	FCC to Issue Net Neutrality Rules--Federal Communications Commission	Armstrong Teasdale
Jan 20 2015	Hospital Antitrust Skirmish Over Economist	IMS Legal Strategies
Jan 20 2015	SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO]	Katten
Jan 20 2015	No Action Letters: The SEC’s Rule 14a-8 Process Just Became Even More Pointlessly Outré	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan 20 2015	EEOC Sues Triangle Catering for Religious Discrimination --Equal Employment Opportunity Commission	U.S. Equal Employment Opportunity Commission
Jan 19 2015	South Africa Pushes Ahead with Proposed Drone Regulations	Covington & Burling LLP
Jan 19 2015	Trade Secrets: When Claiming A Business Plan Is A Secret Won't Work	Poyner Spruill LLP
Jan 17 2015	Broker-Dealer Beat: FINRA Updates Background Investigation Rule	Proskauer Rose LLP
Jan 16 2015	SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other Illegal Activity	Proskauer Rose LLP
Jan 16 2015	OFAC and BIS Release Amendments to Cuban Embargo Regulations	Faegre Drinker
Jan 16 2015	FTC Raises Hart-Scott-Rodino Thresholds - Federal Trade Commission	Morgan, Lewis & Bockius LLP
Jan 16 2015	Havana Hold Your Hand: Reaching Out to Cuban Entrepreneurs	Sheppard, Mullin, Richter & Hampton LLP
Jan 16 2015	Investor Notification of Fraud: This Is One Form 8-K You’ll Never Want To File	Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan 16 2015	SEC Releases 2015 Examination Priorities --Securities and Exchange Commission	Sheppard, Mullin, Richter & Hampton LLP
Jan 16 2015	Delaware Court Rules That Beneficial Stockholder May Seek Appraisal in Its Own Name	Katten
Jan 16 2015	ESMA Recommends to the European Commission That All MiFID Firms Have a Full-Time Compliance Function--European Securities and Marketing Authority	Katten
Jan 16 2015	ESMA Announces Open Hearing on MiFID II and MiFIR--European Securities and Markets Association	Katten
Jan 16 2015	Four Things to Know About the 2015 SEC OCIE Exam Priorities	Mintz

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