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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Oct 2 2020	What's New in Special Assets [Webinar]	Ward and Smith, P.A.
Feb 24 2023	When Can You Freeze and Seize a Judgment Debtor’s Bank Account?	Ward and Smith, P.A.
Apr 16 2024	Collection Costs of a Non-Discharged Debt Also Are Non-Discharged	Ward and Smith, P.A.
Apr 8 2022	How a Setoff Right Led to a Creditor Fight	Ward and Smith, P.A.
Apr 7 2020	FAQ: Paycheck Protection Loans and Economic Injury Disaster Loans	Ward and Smith, P.A.
Apr 13 2020	Faith-Based Organizations: Guidance for Eligible Paycheck Protection Program Loans	Ward and Smith, P.A.
Jul 1 2022	Corporate Bad Behavior Is Not Dischargeable Under Subchapter V	Ward and Smith, P.A.
Mar 29 2019	Insider Guessing Can Still Land You in Jail	Ward and Smith, P.A.
Oct 25 2023	The Corporate Transparency Act: Your Questions, Answered	Ward and Smith, P.A.
Feb 24 2021	New Year, New Technology Priorities	Ward and Smith, P.A.
Nov 3 2021	A Paradigm Shift in Consumer Collections: How the CFPB's Final Rule is Certain to Affect Creditors and Debt Collectors	Ward and Smith, P.A.
Jan 4 2023	Are Your Retirement Accounts SECURED? Action Steps for Plan Participants and IRA Owners	Ward and Smith, P.A.
Nov 4 2020	Questions Raised by the PPP Loan Necessity Questionnaire	Ward and Smith, P.A.
Feb 11 2022	HIPAA for Labor and Employment Attorneys: What you Need to Know	Ward and Smith, P.A.
Jun 25 2021	Common Mistakes to Avoid When Appealing a North Carolina Occupational Licensing Board Decision	Ward and Smith, P.A.
Apr 6 2020	COVID-19 and Force Majeure: What Businesses Should Know	Ward and Smith, P.A.
Apr 9 2020	Updated Business Affiliation Rules: Key Information for Paycheck Protection Program Borrowers	Ward and Smith, P.A.
Dec 2 2020	COVID-19 and the Construction Industry: Must Know Information for Executives	Ward and Smith, P.A.
Jul 15 2021	A New Commodity in a Traditional Box: Hemp's Commodity Status Demands Appropriate Attention	Ward and Smith, P.A.
Dec 16 2020	Hemp Suits: Proactive Risk Management is Key	Ward and Smith, P.A.
May 7 2020	COVID-19 Closed My Business. Can I Still Reorganize in Bankruptcy?	Ward and Smith, P.A.
May 8 2020	Local Government Laws Updated to Deal with COVID-19 and States of Emergency	Ward and Smith, P.A.
Nov 5 2021	Talking Shop: State of the Construction Industry [VIDEO]	Ward and Smith, P.A.
Mar 17 2021	Brews, Booze, and Data Breaches	Ward and Smith, P.A.
Nov 15 2019	Lifetime Transfers of Family Business Interests: An Estate Tax Planning Opportunity in Uncertain Political Times	Ward and Smith, P.A.
May 4 2022	Even Indirect Income from Cannabis Can Get You Banned From Bankruptcy	Ward and Smith, P.A.
Apr 29 2020	Business Law Lessons from the Tiger King	Ward and Smith, P.A.
Jan 5 2021	PPP Loans, Episode Two – Is the Sequel Worth Watching?	Ward and Smith, P.A.

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