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

Custom text		Organization
May 22 2014	The Enforceability of Automatic Renewal Provisions under New York Law	Morgan, Lewis & Bockius LLP
May 22 2014	Fast Track for North Carolina Tax Changes	Womble Bond Dickinson (US) LLP
May 22 2014	First Circuit Affirms District Court’s Exclusion of Event Study as Unreliable Under Daubert	Sheppard, Mullin, Richter & Hampton LLP
May 22 2014	Dodd-Frank Whistleblower Provision Proving Fertile Breeding Ground for Whistleblowers	Jackson Lewis P.C.
May 22 2014	Massachusetts State Blue Sky Claims Under the Uniform Securities Act Can Be Won by Sellers, But at a Cost	Mintz
May 22 2014	Some Interesting Numbers Regarding Merger Review: The Hart-Scott-Rodino Annual Report for Fiscal Year 2013	Sheppard, Mullin, Richter & Hampton LLP
May 22 2014	Foreign Investment in Africa is Booming	Covington & Burling LLP
May 22 2014	SEC (Securities and Exchange Commission) Denies Enforcement Action Award for Failure to Timely File Claim; Narrowly Defines “Extraordinary Circumstances” Exception	Proskauer Rose LLP
May 22 2014	Looking For The List Of Over-the-Counter (OTC) Margin Stocks? You’ll Find It In California’s New LLC Act	Allen Matkins Leck Gamble Mallory & Natsis LLP
May 22 2014	EMC Corp. and VMWare, Inc. v. PersonalWeb Technologies, LLC and Level 3 Communications, LLC: Final Written Decision	Faegre Drinker
May 21 2014	The Exploding Use of Drones	Covington & Burling LLP
May 21 2014	Potential Risks of Healthcare Joint Ventures Between Insurance Companies and Hospitals	Sheppard, Mullin, Richter & Hampton LLP
May 21 2014	Vance and Nassar: A Small Business Employer’s Guide To The Court’s Recent Title VII Rulings	The Ohio State University Moritz College of Law
May 21 2014	A Member of a Limited Liability Partnership Can be a “Worker”	McDermott Will & Emery
May 21 2014	Are Proper Names In A Language? Re: Corporation Names	Allen Matkins Leck Gamble Mallory & Natsis LLP
May 21 2014	Google, Inc. v. Unwired Planet: Denying Request for Rehearing of Decision on Institution CBM2014-00005	Faegre Drinker
May 21 2014	Africa’s Coming Infrastructure Boom	Covington & Burling LLP
May 21 2014	Commodities Futures Trading Commission (CFTC) Issues First Whistleblower Program Award	Proskauer Rose LLP
May 20 2014	An End to the Madness? Delaware Bill Introduced to End Contingent Fee Unclaimed Property Audits	McDermott Will & Emery
May 20 2014	What Does PPACA Stand For? Punitive Penalties Are Clearly Authorized	Proskauer Rose LLP
May 20 2014	How Are Your Physicians Compensated? Stark Law + False Claims Act = Halifax Paying $85 Million	Sheppard, Mullin, Richter & Hampton LLP
May 20 2014	Sixth Circuit: ERISA’s Whistleblower Provision Doesn’t Protect Giving Information	Proskauer Rose LLP
May 20 2014	Does A Consumer’s Exercise of a Rescission Right Mean that the Loan Is Automatically Rescinded?	Sheppard, Mullin, Richter & Hampton LLP
May 20 2014	District Court of Southern Florida to SEC: Seven-Year Investigation a Bit (Too) Long for My Jurisdiction – Enforcement Action Against Alleged Ponzi Schemers Dismissed	Neal, Gerber & Eisenberg LLP
May 20 2014	Consumer Futures Trading Commission (CFTC) Announces First Whistleblower Award	Faegre Drinker
May 20 2014	Whose Role is it Anyway? Unanswered Questions About Social, Political, or Environmental Corporate Disclosures	Mintz
May 20 2014	Florida District Court Bolsters the Five-Year Statute of Limitations Defense to SEC Civil Enforcement Actions	Barnes & Thornburg LLP
May 20 2014	New York Court of Appeals Expands Potential For State Whistleblower Claims	Proskauer Rose LLP

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