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 2 2024	Trigger Leads: Has the Train Left the Station Already?	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	FASHIONABLE LAWSUITS: Hugo Boss and Chicme Latest Targets of TCPA Class Actions	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
Sep 28 2022	WEIGHT IN GOLD: Great New TCPA Discovery Ruling Properly Limits Overly Broad 30(b)(6) Notice in Colonial Penn TCPA Case	Troutman Amin, LLP
Sep 22 2020	Who Done It?: Royal Seas Cruises to Face Bench Trial on Issue of Arbitrability After Plaintiff Denies Visiting Website	Troutman Amin, LLP
Apr 3 2024	COURT PREVENTS TCPA BAIT AND SWITCH: Forbids Abante Rooter from Switching Class Representatives to Fred Heidarpour.	Troutman Amin, LLP
May 14 2024	$35MM GODADDY TCPA SETTLEMENT EXPLODES (PART 1): Appellate Court Finds Probable “Collusion” Between Class Counsel and GoDaddy Lawyers in TCPA Class Settlement–Deems Class Counsel “Inadequate” To Represent the Class	Troutman Amin, LLP
Jul 26 2021	Unprofessional and Unnecessary: TCPA Defendant’s Rush to Seek Sanctions Against Plaintiff Pretty Much Backfires Completely	Troutman Amin, LLP
Aug 17 2021	Another Florida Mini-TCPA Class Action Filed – This Time Against Pizza Hut	Troutman Amin, LLP
Jan 18 2021	THE CLOCK IS TICKING: Huge TCPA Appeal to Sixth Circuit May Result in Biggest Decision of All Time– Here’s How YOU Can Help	Troutman Amin, LLP
Mar 4 2021	One of a Kind Ruling?: Extremely Rare ATDS Win for Defendant on Summary Judgment in Ninth Circuit Entered in California Court	Troutman Amin, LLP
Nov 8 2021	Court Reminds Everyone Just How Hard it is to Allege Agency in the Ninth Circuit	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
Dec 16 2021	GRINCH MODE: Company’s General Manager Personally Named in TCPA Class Action Just in Time for the Holidays	Troutman Amin, LLP
Jan 11 2022	MORE OF THE SAME: Another Court Holds Click and Pause Allegations Sufficient to Plead ATDS Usage Post Facebook	Troutman Amin, LLP
Feb 14 2023	It is Valentine’s Day and Sharing is Caring! More thoughts on CFPB Advisory Notice.	Troutman Amin, LLP
Feb 18 2022	RACING AHEAD: The Oklahoma Mini-TCPA Has Legs and Looks to be Sprinting Toward Passage	Troutman Amin, LLP
Mar 15 2024	RAW DOG: Bottom Line Concepts Stuck in TCPA Class Action Over Snoop Dogg “Approved” Message	Troutman Amin, LLP
Jun 22 2021	ATDS Claim Dismissed Under Facebook: Triggered Calls from Alarm Company Do Not Give Rise to TCPA Claim	Troutman Amin, LLP
Jul 7 2021	Part 2 of That Definitive Guide to the New Florida Robocall Bill You’ve Been Waiting For (Section 501.616(6) and (7))	Troutman Amin, LLP
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 15 2021	WELL SAID: Court Affirms Creasy Affirmative Defense Available In Well-Worded Order	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
Sep 22 2021	OH SNAP: Massive TCPA Class Action Certified Against Snap Financial Arising out of Wrong Number Robocalls	Troutman Amin, LLP
Oct 6 2021	CEO Escapes Personal TCPA Liability: “Ownership… is not enough to sustain personal liability for individuals”	Troutman Amin, LLP

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