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

Title
Date - Month Sort ascending Organization
5
Dec 23
Network Topology and Network Mapping: The NIST Cybersecurity Framework – Part 2 Bradley Arant Boult Cummings LLP
5
Dec 23
New FTC Resolution Confirms Commission’s Intent to Regulate AI and Paves the Way for Future Investigations and Enforcement Actions Proskauer Rose LLP
5
Dec 23
Trends in Private Credit Restructuring: Out of Court “Change of Control” Transactions Proskauer Rose LLP
5
Dec 23
Effect of the New NYSE and Nasdaq Clawback Listing Standards on Registered Funds and BDCs Proskauer Rose LLP
5
Dec 23
FINRA Proposes to Amend Rule 2210 to Permit Projected Performance and Targeted Returns in Institutional Communications Proskauer Rose LLP
5
Dec 23
Private Equity Fundraising with Asante Capital’s Fraser van Rensburg [Podcast] Proskauer Rose LLP
5
Dec 23
Regulation Round Up: November 2023 Proskauer Rose LLP
5
Dec 23
AIFMD II: New Regulation of Debt Funds and Other Key Changes Greenberg Traurig, LLP
5
Dec 23
FCA Welcomes the Launch of the Transition Plan Taskforce Disclosure Framework – The Relevance for UK Asset Managers Proskauer Rose LLP
5
Dec 23
Update: SEC Stays Effectiveness of New Buyback Rules Proskauer Rose LLP
5
Dec 23
Corrupt Power: SEC Sanctions Utility and Sues CEO for Paying Bribes Norris McLaughlin P.A.
5
Dec 23
Does A General Partnership Terminate And Then Dissolve Or Dissolve And Then Terminate? Allen Matkins Leck Gamble Mallory & Natsis LLP
4
Dec 23
Report: Asset Owners Increase Intermediate Target Commitments While Decreasing Emissions Cadwalader, Wickersham & Taft LLP
4
Dec 23
Taxes Are Not the Only Thing to Worry About in Washington — Employers Face Stiff Fines for Violating Washington, D.C.’s Ban on Non-Competes Foley & Lardner LLP
4
Dec 23
IRS Considers Allowing Individuals to Purchase Clean Energy Tax Credits, but Buyer Beware [Video] Jones Walker LLP
4
Dec 23
Federal Government Continues Its Big Push for Cybersecurity with SEC Action Against SolarWinds and Its CISO Bradley Arant Boult Cummings LLP
4
Dec 23
SEC Share Repurchase Rules on Hold (For Now) Barnes & Thornburg LLP
4
Dec 23
New York “Denies Access” to Employers Seeking Login Credentials for Employee’s Social Media Accounts Foley & Lardner LLP
4
Dec 23
EU Council Adopts New European Green Bond Standard Cadwalader, Wickersham & Taft LLP
4
Dec 23
Spirited Decisions: How Governor Murphy’s Veto Shakes and Stirs New Jersey’s Liquor Laws Norris McLaughlin P.A.
4
Dec 23
OFAC Sanctions Crypto Mixer Following Allegations of Laundering Funds to North Korea Sheppard, Mullin, Richter & Hampton LLP
4
Dec 23
California Privacy Protection Agency Announces Draft Regulatory Framework for Automated Decision-Making Technology Nelson Mullins
4
Dec 23
Ten Minute Interview: Cybersecurity Attacks [VIDEO] Foley & Lardner LLP
4
Dec 23
Budget Ratification: Understanding the Ghost of Budgets PAST When Preparing for the Future Ward and Smith, P.A.
4
Dec 23
Weekly Bankruptcy Alert - December 4, 2023 (For the week ending December 3, 2023) Pierce Atwood LLP
4
Dec 23
New York Department of Financial Services Reaches $1 Million Dollar Settlement With First American Title Insurance in Data Breach Investigation Hunton Andrews Kurth
4
Dec 23
Brussels Regulatory Brief: November 2023 K&L Gates
4
Dec 23
Third Time a Charm for Alabama Medical Cannabis Awards? Bradley Arant Boult Cummings LLP
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins