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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Jun 27 2023	SEPARATE COUNSEL NEEDED?: Auto Warranty Company Stuck in Case on “Direct” Liability Theory–And Sharing Lawyer with the Seller May Have Been the Reason	Troutman Amin, LLP
Jul 16 2021	Court Allows Plaintiff to Sue Employees of TCPA Defendant Directly After Company Claimed a Lack of Funds	Troutman Amin, LLP
Aug 2 2021	VIRGINA IS FOR LOVERS (of DNC Claims): New Case Confirms $5,000.00 Per Call State Private Right of Action Against Marketers	Troutman Amin, LLP
Aug 22 2023	CFPB To Push Forward with Purposed Rulemaking for Data Brokers	Troutman Amin, LLP
Jun 17 2022	MACY’S CREDIT SUED FOR PRERECORDED CALLS: Retailers Back in the TCPA Crosshairs?	Troutman Amin, LLP
Mar 10 2021	Victory by Default: TCPA Defendant Ends up Winning a TCPA Case By Doing Nothing At All	Troutman Amin, LLP
Nov 14 2022	BAD NEWS MONDAY: Corporate Defendant Must Produce Enormous Amount of Financial Information After Losing Its Motion for Protective Order for 30(b)(6) Notice Deposition.	Troutman Amin, LLP
Apr 27 2021	Congress Holds Hearing on FTC Powers– Watch Here	Troutman Amin, LLP
Apr 29 2021	FEELING THE HEAT: Mortgage Company Blasted in New DNC TCPA Class Action–And there Are Lessons Here	Troutman Amin, LLP
Oct 7 2020	Off Target: Major Retailer Dismissed from TCPA Suit Initiated By Questionable Revocation Effort	Troutman Amin, LLP
Feb 14 2023	It is Valentine’s Day and Sharing is Caring! More thoughts on CFPB Advisory Notice.	Troutman Amin, LLP
May 26 2021	Real Quick: Navient May (May) Get Another Chance to Defeat TCPA Claim Arising Out of Government-Backed Debt Exemption	Troutman Amin, LLP
Jun 25 2021	SPOKEO ON STEROIDS: It Happened–Supreme Court Holds Unnamed Class Members Must Have Standing to Recover Damages at Trial and Class Actions as We Know them Are Dead (Again)	Troutman Amin, LLP
Jun 27 2023	WILL OREGON BE THE NEXT STATE TO SIGN INTO LAW CONSUMER DATA PRIVACY: There is a Bill Currently Sitting on the Governor’s Desk	Troutman Amin, LLP
Jul 28 2021	Bright line: Not Interested is Not a Revocation	Troutman Amin, LLP
Aug 4 2023	IT IS A GOOD YEAR: Goodyear Tire & Rubber Company Wins on Motion to Dismiss!	Troutman Amin, LLP
Aug 15 2023	TCPA AFTER DEATH: Dad Sues Navient for Harassment Over Calls Regarding His Dead Daughter’s Debt	Troutman Amin, LLP
Sep 11 2023	TCPAWORLD Pac 12 Edition: READ The Order Reigning in The “Treacherous 7” Entered In Favor of BRAVE Washington State and Oregon State Who Are Trying to Save the Conference	Troutman Amin, LLP
Nov 8 2021	Popular Lead Supplier Bails Out Seller With Critical Consent Data Sufficient to Decertify Class	Troutman Amin, LLP
Aug 5 2020	Overly Eager: TCPA Suit Proceeds Against Company that (Allegedly) Sent Ringless Voicemails to Consumers Who Entered—But Did Not Submit—Phone Numbers on a Website	Troutman Amin, LLP
Apr 16 2021	Prerecorded Recall Disaster: Automated Messages Urging Mayoral Recall Lead to Certified TCPA Class Action	Troutman Amin, LLP
Feb 13 2023	DID THE CFPB JUST KILL PING POST TRANSACTIONS?: Regulator Finds Sell of Transfer Leads to Highest Bidder May Violate RESPA	Troutman Amin, LLP
Mar 7 2024	MASSIVE WIN FOR PLATFORMS: Federal Court Slaps Down FTC– Holds Ringless Voicemail Platform Provider Cannot Be Liable for TSR Violations	Troutman Amin, LLP
May 28 2021	Facebook Changed Nothing?: Court Holds that Facebook Ruling Does not Alter pre-Existing Framework on Text Messages	Troutman Amin, LLP
Jun 4 2021	“Disturbing”: Cell Phone Carrier’s Internal Coding Leads to TCPA Suit—Case Brought from Resulting Confusion Dismissed but Attorneys’ Fees Denied	Troutman Amin, LLP
Apr 3 2024	Email Spy: Home Depot Sued in Putative Class Action For Alleged Use of Spy Tracking Pixels	Troutman Amin, LLP
Jul 13 2021	AWESOME TCPA WIN!: Court Finds Facebook’s “Clear Holding” Requires USE of R&SNG and Not Just Capacity to Qualify as ATDS	Troutman Amin, LLP
Dec 11 2020	A JARRING SHIFT: Here’s Why the Fourth Circuit Holding FCC TCPA Rulings Aren’t Entitled to Chevron Deference—Much Less Binding Effect Under the Hobbs Act– Is So Astonishing	Troutman Amin, LLP

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