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.

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

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Custom text Organization
Mar
18
2024
New Mexico Trial Court Upholds Admissibility of Diffusion Tensor Imaging (DTI) Stark & Stark
Mar
18
2024
Cadwalader Climate (March 18, 2024) Cadwalader, Wickersham & Taft LLP
Mar
18
2024
DOJ Announces it is Designing a Whistleblower Rewards Program Mintz
Mar
18
2024
Companies House Reforms Begin to Bite on 4 March 2024 Katten
Mar
18
2024
Second Circuit: Whistleblower Must Adequately Allege Willfulness to Assert FCA Claims Based on AKS Violations ArentFox Schiff LLP
Mar
18
2024
DOJ Continues Focus on Corporate Crime with New Whistleblower Program ArentFox Schiff LLP
Mar
18
2024
Essential Annual Actions for Start-up Boards Mintz
Mar
18
2024
The Corporate Transparency Act: What is Self-Authentication Regarding Beneficial Ownership Information? Norris McLaughlin P.A.
Mar
18
2024
Are Corporations "Rolling Down Hill, Like A Snowball Headed For . . .?" Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
16
2024
CFTC Grants $1.25 Million Whistleblower Award to Compliance Official Kohn, Kohn & Colapinto
Mar
15
2024
DOJ Doubles Down on Corporate Enforcement with New Whistleblower Program McDermott Will & Emery
Mar
15
2024
SEC Adopts Climate-Related Risk Disclosure Rules: What Public Companies, Executives and Investors Need to Know McDermott Will & Emery
Mar
15
2024
DOJ Announces New Whistleblower Compensation Pilot Program, Ratcheting Up Pressure on Corporate Voluntary Self-Disclosure Robinson & Cole LLP
Mar
15
2024
Dialing for Dollars: US Department of Justice Announces New Whistleblower Pilot Program K&L Gates
Mar
15
2024
RAW DOG: Bottom Line Concepts Stuck in TCPA Class Action Over Snoop Dogg “Approved” Message Troutman Amin, LLP
Mar
15
2024
Be Sure to Insure: 10 Types of Business Insurance Coverage to Consider Ward and Smith, P.A.
Mar
15
2024
USDA Releases Plan to Strengthen the Bioeconomy Through a More Resilient Biomass Supply Chain Bergeson & Campbell, P.C.
Mar
15
2024
Microsoft Scores Massive Win in California, Opens the Door for Others Nationwide McDermott Will & Emery
Mar
15
2024
Compliance im Fokus: Pflichten, Herausforderungen und Kompetenzen von Vorstand und Aufsichtsrat [Video] McDermott Will & Emery
Mar
15
2024
Franchising Basics: Should You or Your Business Consider Franchising? Varnum LLP
Mar
15
2024
"The Secretary Of State Has No Issue With Bimbo" - Should She? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
14
2024
Weather & Climate Risk Management Part I: Management of Weather & Climate Risks ASKramer Law
Mar
14
2024
IRS (Belatedly) Strikes Back Against FedEx in Ongoing Foreign Tax Credit Case McDermott Will & Emery
Mar
14
2024
Pending Oregon Law Undermines Traditional Physician Practice Structure McDermott Will & Emery
Mar
14
2024
Patenting Web Advertising? Ask Alice, I Think She’ll Know McDermott Will & Emery
Mar
14
2024
Read the Fine Print: Covenant Not to Sue “At Any Time” Terminated Upon License Expiration McDermott Will & Emery
Mar
14
2024
Staying on Course: Navigating Election Year Issues for Exempt Organizations ArentFox Schiff LLP
Mar
14
2024
Equitable Subrogation and "Controllers" for The Purposes of The Corporations Act 2001 - Can a Lawyer Be a "Controller"? K&L Gates
 

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