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.

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
Aug
23
2017
Sightpath Medical Pays $12 Million to Settle Allegations of False Claims Act Violations and Medicare Fraud Tycko & Zavareei LLP
Aug
23
2017
Delaware Court of Chancery Extends Business Judgment Rule Deference to Controller Transactions Involving Third-Parties: In re Martha Stewart Living Cadwalader, Wickersham & Taft LLP
Aug
23
2017
Suing CEO For Social Activism Is Likely Challenging Under Nevada Law Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
23
2017
Chancery Court Holds that Stockholder Rejection of Corporate Proposals are Not Defective Corporate Acts that Can Later Be Ratified K&L Gates
Aug
22
2017
Unclean Hands and Unreasonable Demands — Chancery Court Holds That Plaintiff’s Fiduciary Duty Claims Fail Due to Doctrine of Unclean Hands K&L Gates
Aug
22
2017
Selling a Family Business Womble Bond Dickinson (US) LLP
Aug
22
2017
Can Shareholders Sue CEOs For Corporate Social Activism? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
21
2017
Will Blockchain Render the Bill of Lading a Relic? Cadwalader, Wickersham & Taft LLP
Aug
21
2017
Strategic Report Changes Ahead Squire Patton Boggs (US) LLP
Aug
18
2017
Eighth Circuit Court of Appeals Affirms District Court’s Dismissal of Complaint in Fund-of-Funds Section 36(b) Lawsuit, Ruling Plaintiff Lacks “Statutory Standing” Vedder Price
Aug
18
2017
New Bill Introduced in the U.S. Senate to Require the Disclosure of Ultimate Beneficial Owners of Corporations and LLCs Formed or Registered in the United States Greenberg Traurig, LLP
Aug
18
2017
SEC Issues Risk Alert on Observations From Cybersecurity Examinations Katten
Aug
18
2017
CFTC Suspends Need of Formal Notice for Position Disaggregation Relief Katten
Aug
18
2017
New Requirements for Planned Developments in Chicago Foley & Lardner LLP
Aug
17
2017
Court of Chancery Denies Motion To Dismiss Claim Alleging Breach of Fiduciary Duty Involving Option Grants to Directors and Voting Agreement K&L Gates
Aug
17
2017
Sovereign Immunity Principles Bar Taxpayers from Challenging John Doe Summonses McDermott Will & Emery
Aug
17
2017
A Subsidiary Post: Securities and Exchange Commission Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
16
2017
Uber Settles with FTC Over Allegations of False Privacy and Security Claims Keller and Heckman LLP
Aug
16
2017
Five Reasons NOT to Register Your Trademark Faegre Drinker
Aug
16
2017
New Partnership Tax Audit Rules Coming von Briesen & Roper, s.c.
Aug
15
2017
Choice Of Law Provision In Stockholder's Agreement Insufficient to Create Personal Jurisdiction Over Delaware Corporation's Former CEO K&L Gates
Aug
15
2017
Sarbanes-Oxley Act 15th Anniversary McDermott Will & Emery
Aug
15
2017
Compliance Program Effectiveness: Fraud Division of the Department of Justice McDermott Will & Emery
Aug
15
2017
The Conflict Review Process McDermott Will & Emery
Aug
14
2017
The Significance of the Appearance of Conflict McDermott Will & Emery
Aug
14
2017
10 Business, Advertising, and IP Considerations for E-Vapor Companies Keller and Heckman LLP
Aug
14
2017
CEO Succession Practices McDermott Will & Emery
Aug
14
2017
Microsoft's Term Limit Pivot McDermott Will & Emery
 

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