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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Apr 8 2021	Georgia Passes Bill to Extend COVID-19 Legal Immunity Protection a Year; Governor Considering	Jackson Lewis P.C.
Sep 22 2016	U.S. Securities and Exchange Commission Surpasses $100 Million in Awards Through Whistleblower Program	Jackson Lewis P.C.
Oct 14 2019	Second Circuit Issues Another Arbitration-Friendly Decision	Jackson Lewis P.C.
Nov 9 2016	Getting Prepared for the New York Department of Financial Services’ Proposed Cybersecurity Regulations	Jackson Lewis P.C.
Sep 29 2020	Kin Care Law Amended to Permit Employees to Designate Sick Days as Kin Care or Personal Sick Leave	Jackson Lewis P.C.
Apr 30 2021	Labor Department Further Delays FLSA Tip Regulations Final Rule Until the End of 2021	Jackson Lewis P.C.
Feb 1 2024	Reminder to Treat Your Valentine and Provide Notice to Employees of Non-Competes by February 14, 2024	Jackson Lewis P.C.
Jun 1 2018	Retaliation Plaintiff Not a Covered Whistleblower under Plain Reading of Dodd-Frank Act, Court Rules	Jackson Lewis P.C.
May 11 2021	FINRA Announces Resumption of In-Person Arbitration Hearings	Jackson Lewis P.C.
May 12 2021	As California Targets June Reopening Cal/OSHA Considers Updating COVID-19 Standards	Jackson Lewis P.C.
Feb 9 2022	A Few Tips for Navigating OFCCP Contractor Portal Registration Issues	Jackson Lewis P.C.
Feb 11 2022	Lawsuits Filed Challenging the DOL Dual Jobs Final Rule, $15 Federal Contractor Minimum Wage	Jackson Lewis P.C.
Feb 26 2024	The DOL Issues New Guidance on PLESA	Jackson Lewis P.C.
Dec 29 2013	Social Media Guidance Issued For Financial Institutions	Jackson Lewis P.C.
Jun 2 2021	California Employers Contend with Mixed Signals as the State Prepares to Reopen	Jackson Lewis P.C.
Mar 28 2023	$35M SEC Settlement Underscores Processes, Procedures Ensuring Appropriate Public Disclosures	Jackson Lewis P.C.
Apr 27 2023	Forensic Review During Investigations: Have You Considered The NLRA?	Jackson Lewis P.C.
May 1 2023	Manufacturing Employers Continue Smart Hiring, With a New Twist	Jackson Lewis P.C.
Mar 14 2014	The Battle Between Office of Federal Contract Compliance Programs (OFCCP) and the Healthcare Industry Continues in Washington	Jackson Lewis P.C.
May 3 2023	Reminder: The FTC “Safeguards Rule” Compliance Date is Next Month	Jackson Lewis P.C.
Jun 22 2021	Bonuses Prompted by Federal Tax Reform and Pay for Charitable Volunteer Time Were Properly Excluded From Employees’ Overtime Calculation, Fourth Circuit Holds	Jackson Lewis P.C.
Mar 26 2014	DOL (Department of Labor) Persuader Rule Undermines Attorney-Client Privilege, Attorney Generals Say	Jackson Lewis P.C.
May 19 2023	Colorado Legislature Passes the Ensure Equal Pay for Equal Work Act	Jackson Lewis P.C.
Mar 28 2014	Illinois Federal Court Questions Fifield	Jackson Lewis P.C.
Apr 4 2014	Supervisor’s Conduct Supported Same-Sex Harassment Claim, California Court Rules	Jackson Lewis P.C.
Sep 14 2018	New Version of Model FCRA Summary of Rights Released; And You Have One Week to Comply	Jackson Lewis P.C.
Jul 9 2021	Colorado Becomes Third State To Enact a Comprehensive Privacy Law	Jackson Lewis P.C.
Dec 8 2020	Trial Court Properly Applied Rule 68 Offer of Judgment and Reduced Attorney’s Fee Demand in FLSA Case, Eleventh Circuit Concludes	Jackson Lewis P.C.

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