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

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Aug 31 2018	Second Circuit Rejects Government’s Expansive Theory in Ruling that FCPA Does Not Extend to Foreign Nationals Without U.S. Ties	Faegre Drinker
Apr 28 2014	Lifetime Income: Participant Needs, Retiree Risks and Retirement Solutions	Faegre Drinker
Apr 13 2020	The CARES Act: Helping Your 401(K) Participants During the Coronavirus Crisis	Faegre Drinker
May 7 2014	New Jersey Court Dismisses Claims Against Shareholders of Defunct Corporation	Faegre Drinker
Aug 9 2017	Relief from 408(b)(2) Requirement on Change Notice: Interesting Angles on the DOL’s Fiduciary Rule #57	Faegre Drinker
Aug 14 2017	Recommendations to Contribute to a Plan or IRA- Interesting Angles on the DOL’s Fiduciary Rule #58	Faegre Drinker
Jun 26 2014	Fifth Third Bancorp v. Dudenhoeffer: Supreme Court Rejects Special “Presumption of Prudence” for Employer Stock	Faegre Drinker
Jul 1 2014	Delaware Law Update: Fee-Shifting Bylaw Provisions and the Use of a Poison Pill in Response to Activist Investor Activities	Faegre Drinker
Jun 30 2012	SEC Staff Issues JOBS Act Guidance	Faegre Drinker
Aug 3 2012	Year Since the Debt Ceiling Deal: What’s Next?	Faegre Drinker
Jul 16 2014	Is China’s Big Win at the World Trade Organization against the U.S. Government’s Policy on Chinese Subsidies a Game-Changer?	Faegre Drinker
May 13 2020	Agency Guidance on Health & Welfare Issues Related to COVID-19	Faegre Drinker
Jan 8 2016	Year of Fiduciary Rule	Faegre Drinker
Oct 10 2012	Tougher Sanctions on Iran: What it Will Mean for Businesses	Faegre Drinker
Aug 26 2014	SEC Issues Valuation Guidance for Funds Holding Certain Short-Term Debt Securities	Faegre Drinker
Jan 25 2016	Hart-Scott-Rodino Notification Thresholds Will Tick Up Next Month	Faegre Drinker
Mar 12 2019	SEC Releases SCSD Self-Reporting Initiative Settlements	Faegre Drinker
Sep 16 2014	Google, Inc. v. Whitserve LLC: Final Written Decision IPR2013-00249	Faegre Drinker
Jan 27 2021	Fee Disclosure Rules Will Soon Apply to Group Health Plans	Faegre Drinker
Nov 3 2017	SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns	Faegre Drinker
Jan 16 2013	Dewonkify – Debt Ceiling	Faegre Drinker
Apr 8 2019	District Court Holds SEC Cannot Use CEO’s Criminal Conviction to Establish Company’s Liability	Faegre Drinker
Mar 30 2016	Mind the Non-GAAP: Considerations for Using Non-GAAP Financial Measures in Face of Increased Scrutiny	Faegre Drinker
Nov 29 2017	DOL Extends Transition Period for Fiduciary Rule Exemptions	Faegre Drinker
Oct 30 2014	What ERISA Service Providers Should Know About Money Market Reform	Faegre Drinker
Mar 11 2013	Management Participation in Secondary Sale Transactions	Faegre Drinker
Mar 19 2013	Executive Life Insurance Company of New York (ELNY) Appeal Denied, Further Appeal Sought	Faegre Drinker
May 29 2019	The SEC’s Reg BI Package: Time to Vote	Faegre Drinker

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