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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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Jun
9
2017
Board Composition and Fear of Losing Control of Your Company [VIDEO] Mintz
Oct
23
2018
Judge Rakoff Highlights the Financial Risk to Objectors of Class Settlements Mintz
Jun
27
2017
Tax-Exempt Financing of Churches, Parochial Schools and Other Sectarian Institutions After Trinity Lutheran Church: Permitted? Required? Let us Pray for Answers Mintz
Apr
12
2022
California Board Diversity Statute Unconstitutional Mintz
Sep
29
2015
Five Advantages to Section 18 of the Securities Act – A New Weapon for Institutions Mintz
Jan
20
2012
Preparation for 2011 Fiscal Year SEC Filings and 2012 Annual Shareholder Meetings Mintz
Jan
30
2012
FTC Announces Increased HSR Thresholds Mintz
May
30
2014
Using Delaware Corporate Bylaws and Charters to Set the Rules for Shareholder Litigation Mintz
Jul
20
2023
Federally-Regulated Employers in Canada Required to Provide Free Menstrual Products for Employees Mintz
Apr
11
2012
A Major Change for Traditional Private Placements: General Solicitation and General Advertising Coming Soon Mintz
Dec
29
2020
During Biden Administration, SEC will require Climate Change Risk and ESG Disclosure Mintz
Jun
25
2014
A Committee of Fund Manager Personnel May Not Be Able to Provide the Requisite Consent on Behalf of the Fund for a Principal Transaction Mintz
Nov
21
2015
SEC Freezes Assets of EB-5 Asset Manager LLC and Alleged Fraudster Lin Zhong Mintz
May
6
2020
Part Five of the COVID-19 Roadmap Series: Ensuring a Safe Workplace - COVID-19 Screening and Testing Mintz
May
17
2022
Two Strikes Against Board Diversity: What’s Next for Statutory Governance Initiatives? Mintz
Sep
13
2017
Upcoming Supreme Court Cases Worth Noting by Institutional Investors Mintz
Aug
22
2023
Second Circuit Clarifies the Circumstances in Which Presumptions Can Be Used to Support Federal Securities Fraud Class Action Lawsuits Mintz
Aug
1
2014
Shuffleboard, Early Bird Specials, and . . . Whistleblowing? Mintz
May
20
2020
Part Three of the COVID-19 Roadmap Series: Ensuring a Safe Workplace - Key Guidance for a Healthy Workspace Mintz
Aug
29
2023
The SJC Shocks Financial Services Industry by Taking Victory Away from Robinhood and Giving it to the Secretary of State Mintz
May
22
2020
The SBA Issues Forgiveness Application and Guidance for the Paycheck Protection Program: What Employers Need to Know Mintz
Jun
17
2022
Vet Clinic FTC Settlement Puts Private Equity On Notice Mintz
Jun
22
2022
News of Recent Layoffs Prompts a Review of the WARN Act: What’s Changed Since 2020 Mintz
Sep
7
2023
CMS Releases Draft Part One Guidance on the Maximum Monthly Cap on Cost-Sharing Payments Program to Part D Plans Mintz
Oct
19
2017
Avoid Rookie Entrepreneur Mistakes - Asking the Right, Experienced People [VIDEO] Mintz
Dec
3
2012
USCIS Entrepreneur-in-Residence Initiative Not Substantive Mintz
Oct
24
2017
Key GDPR Guidance on Behavioral Advertising, Profiling and Automated Decision-Making Mintz
Feb
3
2021
Satyam Khanna Named SEC’s First Senior Policy Advisor for Climate and ESG Mintz
 

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