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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Feb 4 2021	Relief for Partial Plan Terminations May Be “Too Little, Too Early”
Oct 7 2021	Legal Implications of Blockchain in Supply Chain: What’s Law Got to Do With It?
Jun 6 2016	Hensarling to Release Dodd-Frank Replacement as House to Vote on Puerto Rico Bill; CFPB, Federal Reserve Propose Long-Awaited Rulemakings
Feb 21 2018	Only Persons Who Report Security Violations to the SEC are Whistleblowers Under Dodd-Frank: Supreme Court Decides Digital Realty Trust Case
Sep 24 2020	Applying for DBE Certification? Technical Competence is Required.
Mar 27 2015	7th Circuit Rules That Title Insurer Is Not Liable for Construction Liens Resulting From Lender’s Failure to Fund
Jul 31 2009	Abstention as an Alternative: Bankruptcy Court Is Not Always the Best Place to Be
Mar 11 2022	FDA Publishes Proposed Rule on National Standards for The Licensure of Wholesale Drug Distributors and Third-Party Logistics Providers as Required by The Drug Supply Chain Security Act
Jul 2 2015	Ex-Im Bank is Closed for Business – At Least for Now
Jun 14 2021	What to Do When a Departing Employee Downloads Information
Jul 13 2015	Fed, CFPB Heads to Testify; SEC, CFTC to Hold Meetings
Jul 20 2015	Whistleblower Program Development, Part I: “Top Advice for Dealing With a Whistleblower” [VIDEO]
Apr 8 2022	SBA Updates Size Standards for Many Industries
Jun 15 2017	USCIS Seeks Input on Revised EB-5 Capital At Risk Requirement
Jul 15 2021	Renewed Warnings and New Legislation on Forced Labor in Global Supply Chains
Apr 25 2022	California Supreme Court Ruling Affords Whistleblowers Greater Protection from Retaliation
Jan 11 2021	With Rising Raw Material Prices, Companies Should Prepare For Pressures on the Supply Chain
Feb 1 2016	Puerto Rico, Fiduciary Rule At Front of Agenda; FSOC, OFR to Hold Fifth Annual Conference as SEC Considers Equity Market Structure Issues
Jul 29 2022	Evidence of Social Disadvantage – Proposed Changes to Federal DBE Program
May 1 2019	Orthopedics in the New Millennium: The Evolution of the Business of Orthopedic and Spine Medicine
Nov 30 2017	DOJ Issues New FCPA Policy Offering Incentives to Encourage Disclosure of Foreign Bribery and Corruption Misconduct
Sep 27 2021	On Her Shoulders, Episode 10 - Interview with Alexandria McCombs [PODCAST]
Jun 30 2020	SEC Staff Provides Additional Disclosure Guidance Relating to the COVID-19 Pandemic
Oct 28 2023	Entity Formation as a Process: The Strategic Importance of Carefully Drafting Limited Liability Company Agreements Before Forming an Entity
Oct 11 2022	Foley Automotive Report October 11, 2022
Oct 13 2022	A Review of Comments to the Proposed Changes to Federal DBE Program
Jul 22 2019	Cryptocurrency Regulatory Complexities Multiply
Jul 12 2016	Safe Harbor Replacement EU-US Privacy Shield Approved

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