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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Dec
11
2014
Online Presence Management: You Down with OP…M? Yeah, You Should Be! Morgan, Lewis & Bockius LLP
Dec
11
2014
Mistaken Termination of Financing Statement Proves Costly to Lender Barnes & Thornburg LLP
Dec
11
2014
Reversing Convictions, Second Circuit Clarifies Scope of Tippee’s Required Knowledge in Insider Trading Cases Proskauer Rose LLP
Dec
11
2014
Second Circuit Limits “Tippee” Insider Trading Liability Sheppard, Mullin, Richter & Hampton LLP
Dec
11
2014
On the Third Day of Privacy, the Shareholders Gave to Me...Shareholder Proposals on Cybersecurity and Privacy Mintz
Dec
11
2014
Interest-Charge Domestic International Sales Corporation (IC-DISC) Tax Benefits for Design Professionals Working Overseas Much Shelist, P.C.
Dec
11
2014
View from London: Completion Accounts Case Law Every Dealmaker Should Know About Greenberg Traurig, LLP
Dec
11
2014
FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials Morgan, Lewis & Bockius LLP
Dec
10
2014
Employer Restitution under Victim Restitution Law (MVRA) Not Offset by Employee’s Canceled Stock Options, Eighth Circuit Court Rules Jackson Lewis P.C.
Dec
10
2014
Applying Delaware’s Direct vs. Derivative Analysis to Contract Claims Proskauer Rose LLP
Dec
10
2014
California Appellate Court Finds in Favor of “Whistleblower” Who Never Blew the Whistle Proskauer Rose LLP
Dec
10
2014
On the Second Day of Privacy, Plaintiffs’ Counsel Gave to Me... Still More Privacy Litigation. Mintz
Dec
10
2014
Does The DBO’s Draft Tribal Consultation Policy Violate the Public Records Act? - California Department of Business Oversight Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
10
2014
Reduced Risk for International Companies Operating In France: Potential Removal Of Severe Sanctions For Failure to Consult with Works Councils Covington & Burling LLP
Dec
9
2014
New Senate Bill Significantly Expands U.S. Sanctions Against Russia Morgan, Lewis & Bockius LLP
Dec
9
2014
Bridging the Week: December 1 to 5 and 8, 2014 [VIDEO] Katten
Dec
8
2014
Privacy Monday: December 8, 2104 – The Twelve Days of Privacy 2014 Mintz
Dec
8
2014
Presidential Memorandum: Streamlining the U.S. Immigrant Visa System Bracewell LLP
Dec
8
2014
Was California’s Public Records Act Founded On The Aventine Hill? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
6
2014
Noticewrap? Is that even a thing? Morgan, Lewis & Bockius LLP
Dec
5
2014
Inventor Testimony in Patent Litigation IMS Legal Strategies
Dec
5
2014
CFTC Releases No-Action Letter 14-144 Morgan, Lewis & Bockius LLP
Dec
5
2014
Offer of Judgment Doesn’t Moot Class Action (11th Circuit) Jackson Lewis P.C.
Dec
5
2014
Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policies Sheppard, Mullin, Richter & Hampton LLP
Dec
5
2014
DOJ Releases Second FCPA Opinion of 2014 (Foreign Corrupt Practices Act) Proskauer Rose LLP
Dec
5
2014
QVC Sues Shopping App for Web Scraping That Allegedly Triggered Site Outage Proskauer Rose LLP
Dec
5
2014
SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking Katten
Dec
5
2014
Justice Department Announces Recovery of Nearly $6 Billion From False Claims Act Cases in Fiscal Year 2014 Jackson Lewis P.C.
 

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