Financial, Securities & Banking

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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

Title
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Jul
23
2021
Hospital Price Transparency: CMS Issues Proposed Rule to Increase Penalties for Larger Hospitals Violating Disclosure Requirements
Apr
20
2015
Senate Banking Committee Schedules Markup; Department Of Labor Releases Fiduciary Rule
Nov
26
2016
European Central Bank Publishes Draft Guidance on Leveraged Transactions
Oct
13
2020
Do Owners Have to “Buy In” to Their Company in Order to Get Disadvantaged Business Enterprise (DBE) Certification?
Jan
29
2021
Flexibility for Flex Accounts – Congress Provides New Relief to Employees
Aug
17
2022
Changes to Decertification Process? Proposed Changes to Federal DBE Program
Oct
28
2021
PE Firm Pays Record Settlement for Allegedly Deficient Health Services: Identifying Traps for the Unwary
Jul
20
2015
Dodd-Frank Turns Five, Continued Focus On Fiduciary Rule
Mar
12
2021
The New New Deal? U.S. House Of Representatives Passes Sweeping Labor Reform With Significant but Uncertain Future
Oct
19
2015
House Financial Services Committee Puts Spotlight on Housing; DOL to Make Changes to Fiduciary Rule
Apr
9
2021
Why Being a “Family Business” May Prevent Your Company From Obtaining Disadvantaged Business Enterprise (DBE) Certification
Nov
16
2015
Senate to Vote on District Judge; House to Take Up Financial Services Legislation
Dec
10
2015
Best Practices to Avoid Common FCPA Violations: Gifts, Meals, and Entertainment
Feb
1
2016
Senate Continues Debate on Energy, as House Set to Move Several Financial Services Bills
Jul
6
2020
Looking Past the Face of the Shiny Penny: Check the Fine Print of All Private Company Investments
Jun
26
2023
Weekly IRS Roundup June 20 – June 23, 2023
Mar
18
2018
IRS Announces Offshore Voluntary Disclosure Program Will End September 28, 2018
Sep
12
2020
When To Pull the Plug: Factors to Consider in Deciding Whether to End The Relationship with A Business Partner (Part 1)
Sep
25
2020
Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners
Jul
31
2009
Abstention as an Alternative: Bankruptcy Court Is Not Always the Best Place to Be
Feb
21
2020
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI
Nov
16
2020
Dissolving the Stigma around Behavioral Health: Key Takeaways | HLTH Matters GoLIVE Webinar Series [VIDEO]
Oct
19
2021
Government Issues No Surprises Act Interim Final Rule with Comment Period (Part II)
May
15
2017
Busy Week at Banking Committee; Treasury on Hill as Trump Fills Out Financial Services Regulators
Mar
3
2022
Changes in Your Disadvantaged Business Enterprise? What, When and How to Report
Jun
14
2021
Pennsylvania Fuel Distributor to Pay $692,000.00 to Settle Violation of DBE Program Rules
Apr
25
2022
California Supreme Court Ruling Affords Whistleblowers Greater Protection from Retaliation
Apr
22
2015
Unfair, Deceptive & Abusive Practices (UDAPP) Council Weekly Standards Report - 4/22/2015 - California, Illinois, Pennsylvania
 

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