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

Title
Custom text Organization
Apr
12
2017
Chipotle Gets a (Nearly) Clean Bill of Health ArentFox Schiff LLP
Apr
12
2017
Exclusive Study Examines 2016 IPOs - Initial Public Offerings Proskauer Rose LLP
Apr
12
2017
Firestorm Over Passenger Forced Removal Proves Costly for United Risk and Insurance Management Society, Inc. (RIMS)
Apr
12
2017
Corporate Culture Oversight, Board Confidentiality, OIG/HCCA Compliance: Corporate Law & Governance Update April 2017 McDermott Will & Emery
Apr
12
2017
New Merger Control Thresholds in Germany K&L Gates
Apr
11
2017
Upcoming/New CFIUS Filing: Unic Capital Management, China Integrated Circuit Industry Investment Fund and Xcerra, Inc. Squire Patton Boggs (US) LLP
Apr
11
2017
Pensions & Investment Research Consultants Ltd (PIRC) UK Shareowner Voting Guidelines 2017 Squire Patton Boggs (US) LLP
Apr
11
2017
False Statements By Money Managers Support California Commodity Law Convictions Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
11
2017
New Developments and Uncertainties for Conflict Minerals Disclosure Beveridge & Diamond PC
Apr
10
2017
The ReSET – The Racial Wealth Divide in Baltimore Womble Bond Dickinson (US) LLP
Apr
10
2017
Delaware Court of Chancery Upholds Validity of General Release Between Company and Former President, Grants Summary Judgment in Former President's Favor K&L Gates
Apr
10
2017
Kansas Strengthens Third Party Administrator Laws Polsinelli PC
Apr
9
2017
FCA Publishes Fifth Consultation on UK Implementation of MiFID II Katten
Apr
8
2017
FCA Publishes First Policy Statement on MiFID II Implementation Katten
Apr
7
2017
Obligation to Cooperate in The Yates Memo – DOJ Issues Questions and Answers: Question 4 (Part 2) Barnes & Thornburg LLP
Apr
7
2017
The $100 Million Question is Answered With Extrinsic Evidence, Not Contra Proferentem Murtha Cullina
Apr
7
2017
Thinx Again: Another Start-Up In Trouble After Prioritizing Culture Over HR Epstein Becker & Green, P.C.
Apr
7
2017
Dismissal Based On Forum Non Conveniens Does Not Trigger Fee Shifting Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
6
2017
Corporate Governance Changes Ahead in the UK? Squire Patton Boggs (US) LLP
Apr
6
2017
California’s Corporations Code And Securities Rules Are Rife With Errors Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
6
2017
Ninth Amendment to German Act Against Restraints of Competition to Take Effect Soon Morgan, Lewis & Bockius LLP
Apr
5
2017
Delaware Chancery Court Rejects Stockholder’s Demand for Books and Records K&L Gates
Apr
5
2017
Creating Non-Taxed “Previously Taxed Income”: The Ultimate Pre-Immigration Strategy Bilzin Sumberg
Apr
5
2017
Two Employment Law Issues Startups Should Know About Varnum LLP
Apr
5
2017
Delaware Chancery Court Issues Declaratory Judgement Regarding Board and Member Actions Taken in Contravention of Corporation's Bylaws K&L Gates
Apr
5
2017
This Foreign Corporation’s Status May Be Forfeited, But Resident Agent Remains Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
4
2017
Reporting Misconduct - The Yates Memo – DOJ Issues Questions and Answers: Question 4 (Part 1) Barnes & Thornburg LLP
Apr
3
2017
French Companies Must Show Duty of Care for Human and Environmental Rights Morgan, Lewis & Bockius LLP
 

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