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
Custom text Organization
Sep
16
2016
“Financial CHOICE Act” Approved by House Financial Services Committee Covington & Burling LLP
May
1
2017
Bridging the Week: April 24 to 28 and May 1, 2017 (Registration Forms; Social Networking; Recordkeeping; Exchanges Expenses) Katten
Jan
10
2020
Fifth Money Laundering Directive Becomes Operational Katten
Jun
15
2020
LIBOR Benchmark Replacement – “It’s Time to Get Off the SOFR” – An Overview of the Impact of LIBOR Transition on Aircraft Financing and Leasing Transactions Vedder Price
Jun
30
2023
High Court Strikes Down President Biden’s Student Loan Relief Program Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Nov
9
2023
OCC Issues Bulletin on Risks Related to Venture Lending Sheppard, Mullin, Richter & Hampton LLP
Jan
12
2016
Current Status of Clearing Obligation Under EMIR - European Market Infrastructure Regulation Morgan, Lewis & Bockius LLP
May
6
2016
Treasury Rejects Central States’ Suspension Application Morgan, Lewis & Bockius LLP
May
20
2019
OCIE Provides Registered Advisers and Broker-Dealers Guidance on Data Protection Compliance Obligations Under Reg S-P and Safeguards Rule Greenberg Traurig, LLP
Apr
25
2020
Enactment of the Paycheck Protection Program AND Healthcare Enhancement Act and Further Interpretive Guidance on The Economic Uncertainty Certification And PPP Eligibility Sheppard, Mullin, Richter & Hampton LLP
Aug
12
2020
2020 Midyear Review on Natural Gas: A Look at COVID‑19’s Impact Cornerstone Research
Apr
21
2023
Central Bank's Dear CEO Letter Highlights Areas of Concern on How Fund Managers Calculate Costs and Fees K&L Gates
Mar
13
2021
Transitioning from LIBOR from a UK Perspective Vedder Price
Jan
1
2022
FCA Takes Next Step Towards a UK Consumer Duty: An Update for Regulated Businesses Greenberg Traurig, LLP
Jan
15
2021
Consolidated Appropriations Act Includes GME Support Provisions McDermott Will & Emery
Jul
14
2021
Biden Executive Order Strengthens and Expands U.S. Sanctions on Chinese Military Companies Miller Canfield
Jan
27
2023
Federal Reserve Issues Policy Statement Limiting Crypto-Activities of State Member Banks K&L Gates
Mar
9
2013
Commodity Futures Trading Commission (CFTC) Approves Chicago Mercantile Exchange (CME) Swap Data Reporting Rule Katten
Oct
18
2022
SEC Charges Kim Kardashian with Violating Anti-Touting Law, Signals to Celebrities that Payments for Endorsements Must Be Disclosed Greenberg Traurig, LLP
Sep
20
2016
Three Parts of "Best Interest Standard of Care": Interesting Angles on the DOL’s Fiduciary Rule #20 Faegre Drinker
Feb
6
2019
How to Report Accounting Fraud and Earn an SEC Whistleblower Award Zuckerman Law
Jan
14
2020
Day 1 Notes at the 2020 J.P. Morgan Healthcare Conference Sheppard, Mullin, Richter & Hampton LLP
Jun
30
2023
FFA European Fund Finance Symposium Review, Part 2 Cadwalader, Wickersham & Taft LLP
Nov
10
2023
Key Takeaways from the OIG’s New Comprehensive General Compliance Program Guidance Mintz
Aug
29
2012
SEC Issues Final Rules Requiring Issuers to Account for Use of Conflict Minerals McDermott Will & Emery
Jan
13
2016
California Court Holds No Fiduciary Duty To Warrant Holders Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
17
2017
Blockchains and Active Funds: Don't Just be an Active Fund...be a Pro-Active Fund K&L Gates
Apr
7
2020
Temporary Regulatory Relief: Community Bank Leverage Ratio Set At 8% Vedder Price
 

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