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 12 2014	Second Circuit Clarifies a Heightened Standard for Insider Trading Convictions	Katten
Dec 12 2014	Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements	Katten
Dec 12 2014	On the Fourth Day of Privacy, My Insurance Carrier Gave to Me…Gaps in My Cyber Liability Coverage	Mintz
Dec 12 2014	Attention Retailers: Target Data Breach Ruling Finds Duty Owed to Issuer Banks	Proskauer Rose LLP
Dec 12 2014	Employment-based Visa Petitions: Why Dun and Bradstreet Can Make or Break a Petition	Mintz
Dec 12 2014	Second Circuit Limits Criminal Insider Trading Actions Against Tippees	Faegre Drinker
Dec 11 2014	Online Presence Management: You Down with OP…M? Yeah, You Should Be!	Morgan, Lewis & Bockius LLP
Dec 11 2014	Mistaken Termination of Financing Statement Proves Costly to Lender	Barnes & Thornburg LLP
Dec 11 2014	Reversing Convictions, Second Circuit Clarifies Scope of Tippee’s Required Knowledge in Insider Trading Cases	Proskauer Rose LLP
Dec 11 2014	Second Circuit Limits “Tippee” Insider Trading Liability	Sheppard, Mullin, Richter & Hampton LLP
Dec 11 2014	On the Third Day of Privacy, the Shareholders Gave to Me...Shareholder Proposals on Cybersecurity and Privacy	Mintz
Dec 11 2014	Interest-Charge Domestic International Sales Corporation (IC-DISC) Tax Benefits for Design Professionals Working Overseas	Much Shelist, P.C.
Dec 11 2014	View from London: Completion Accounts Case Law Every Dealmaker Should Know About	Greenberg Traurig, LLP
Dec 11 2014	FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials	Morgan, Lewis & Bockius LLP
Dec 10 2014	Employer Restitution under Victim Restitution Law (MVRA) Not Offset by Employee’s Canceled Stock Options, Eighth Circuit Court Rules	Jackson Lewis P.C.
Dec 10 2014	Applying Delaware’s Direct vs. Derivative Analysis to Contract Claims	Proskauer Rose LLP
Dec 10 2014	California Appellate Court Finds in Favor of “Whistleblower” Who Never Blew the Whistle	Proskauer Rose LLP
Dec 10 2014	On the Second Day of Privacy, Plaintiffs’ Counsel Gave to Me... Still More Privacy Litigation.	Mintz
Dec 10 2014	Does The DBO’s Draft Tribal Consultation Policy Violate the Public Records Act? - California Department of Business Oversight	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 10 2014	Reduced Risk for International Companies Operating In France: Potential Removal Of Severe Sanctions For Failure to Consult with Works Councils	Covington & Burling LLP
Dec 9 2014	New Senate Bill Significantly Expands U.S. Sanctions Against Russia	Morgan, Lewis & Bockius LLP
Dec 9 2014	Bridging the Week: December 1 to 5 and 8, 2014 [VIDEO]	Katten
Dec 8 2014	Privacy Monday: December 8, 2104 – The Twelve Days of Privacy 2014	Mintz
Dec 8 2014	Presidential Memorandum: Streamlining the U.S. Immigrant Visa System	Bracewell LLP
Dec 8 2014	Was California’s Public Records Act Founded On The Aventine Hill?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 6 2014	Noticewrap? Is that even a thing?	Morgan, Lewis & Bockius LLP
Dec 5 2014	Inventor Testimony in Patent Litigation	IMS Legal Strategies
Dec 5 2014	CFTC Releases No-Action Letter 14-144	Morgan, Lewis & Bockius LLP

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