Financial, Securities & Banking

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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.

National Law Review Financial Regulation and Banking Law TwitterFor 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

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Custom text Organization
Dec
5
2014
Offer of Judgment Doesn’t Moot Class Action (11th Circuit) Jackson Lewis P.C.
Dec
5
2014
Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies Sheppard, Mullin, Richter & Hampton LLP
Dec
5
2014
DOJ Releases Second FCPA Opinion of 2014 (Foreign Corrupt Practices Act) Proskauer Rose LLP
Dec
5
2014
QVC Sues Shopping App for Web Scraping That Allegedly Triggered Site Outage Proskauer Rose LLP
Dec
5
2014
SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking Katten
Dec
5
2014
Justice Department Announces Recovery of Nearly $6 Billion From False Claims Act Cases in Fiscal Year 2014 Jackson Lewis P.C.
Dec
5
2014
Do Conflicting Experts Preclude Summary Judgment? IMS Legal Strategies
Dec
5
2014
Nevada Supreme Court Doubles Down On Joint Venture By Estoppel Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
5
2014
How Active Governance Can Advance Proactive Risk Intelligence Risk and Insurance Management Society, Inc. (RIMS)
Dec
4
2014
DOJ Issues Opinion, Provides (Some) Comfort on Successor Liability Sheppard, Mullin, Richter & Hampton LLP
Dec
4
2014
Advocacy and Lobbying (6th Circuit): How a Nonprofit can be Heard and Keep its Tax-Exempt Status Heyl, Royster, Voelker & Allen, P.C.
Dec
4
2014
The Immigration Accountability Executive Actions: Ramifications for Business McDermott Will & Emery
Dec
4
2014
Tax Measures in the 2014 UK Autumn Statement Morgan, Lewis & Bockius LLP
Dec
3
2014
Antitrust Division Reinforces Its Resolve and Ability to Extradite Foreign Executives Morgan, Lewis & Bockius LLP
Dec
3
2014
SEC Focus on Disclosure Issues for Municipal Securities, Private Equity and ETFs Proskauer Rose LLP
Dec
3
2014
Muzzling Directors Who Don’t Agree - California Public Employees’ Retirement System (CalPERS) Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2014
Cable Merger Runs Into Problems In Different Areas of Kentucky McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec
2
2014
San Francisco Retail Workers’ Bill of Rights Sheppard, Mullin, Richter & Hampton LLP
Dec
2
2014
Getting the Most Out of Your Contractual Insurance Provisions Barnes & Thornburg LLP
Dec
2
2014
The Recommendations of Québec’s “Working Group on Online Gambling” Dickinson Wright PLLC
Dec
2
2014
Liability for Stolen Goods: A Four Thousand Year Old and Still Unsolved Problem Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
2
2014
Justices Scalia and Thomas Amenable to Reexamining Deference to SEC Statutory Interpretations Proskauer Rose LLP
Dec
2
2014
China Arbitration Update: New CIETAC Rules Effective January 1, 2015 (China International Economic & Trade Arbitration Commission) Sheppard, Mullin, Richter & Hampton LLP
Dec
1
2014
CME Group Report Cards; Cross-Border Regulation; CCP Recovery; Spec Limits and EFRP Fines; Edge of Eternity: Bridging the Week November 24 to 28 and December 1, 2014 [VIDEO] Katten
Dec
1
2014
ISS (Institutional Shareholder Services) Releases 2015 Proxy Voting Guidelines Mintz
Dec
1
2014
Investment Trends in the Gaming Industry Sheppard, Mullin, Richter & Hampton LLP
Dec
1
2014
California DBO Proposes Reversal Of Long-Standing CFLL (California Finance Lenders Law) Interpretation Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
29
2014
The Impact of Collaboration in Cyber Risk Insurance Risk and Insurance Management Society, Inc. (RIMS)
 

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