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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May 8 2020	"Do I Need to Return My PPP Loan?" SBA Extends Safe Harbor Deadline to May 14	Ward and Smith, P.A.
Jun 15 2022	Cyber Threats, Creativity, and Growth: Recapping the 2022 Annual Factoring Conference	Ward and Smith, P.A.
Feb 5 2021	WOTUS Encore: The Fate of the Navigable Waters Protection Rule and Implications for Groundwater	Ward and Smith, P.A.
Mar 15 2021	Community Association Building Blocks: ARC as Easy as 1,2,3?	Ward and Smith, P.A.
Jan 5 2024	What the "Biggest Holiday Inn in the World" Can Teach Us About Default Interest in Bankruptcy?	Ward and Smith, P.A.
Oct 2 2020	What's New in Special Assets [Webinar]	Ward and Smith, P.A.
Apr 30 2021	Ripe for the Picking: Hackers Target Agribusinesses	Ward and Smith, P.A.
Feb 9 2022	More Bad News for Non-Debtors Seeking Releases in Chapter 11	Ward and Smith, P.A.
Nov 4 2020	Questions Raised by the PPP Loan Necessity Questionnaire	Ward and Smith, P.A.
Mar 18 2022	The Application of North Carolina's Economic Loss Rule to Commercial Construction Projects	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.
Jul 13 2021	A Summary of Bank-Related Provisions of President Biden's July 9th Executive Order Promoting Competition	Ward and Smith, P.A.
Jul 5 2023	Economic Growth and Disclosure Laws: Financial Insights From the Annual Factoring Conference	Ward and Smith, P.A.
Dec 28 2020	Approved COVID-19 Relief Bill: What Small Businesses Need to Know about PPP	Ward and Smith, P.A.
Sep 11 2017	The North Carolina Uniform Power of Attorney Act: A Practical Introduction for Real Estate Practitioners	Ward and Smith, P.A.
Aug 11 2021	How the Law Is Grappling With Free Expression, COVID-19, Diversity, and More	Ward and Smith, P.A.
Jun 8 2022	Making a Difference: Charitable Trust Planning	Ward and Smith, P.A.
Mar 29 2019	Insider Guessing Can Still Land You in Jail	Ward and Smith, P.A.
Oct 20 2022	In Foreclosure, Your Attorney Can Be Counsel or Trustee, But Not Both	Ward and Smith, P.A.
Mar 26 2021	Employers: Here's Your "Quick Hitter Guide" for the American Rescue Plan Act's Impact on COBRA and FFCRA	Ward and Smith, P.A.
Jun 9 2021	Appealing Disciplinary Actions of North Carolina Professional or Occupational Licensing Boards	Ward and Smith, P.A.
Jun 18 2021	One Year Later: Have Employers Taken Stock Following Bostock?	Ward and Smith, P.A.
Aug 28 2017	New North Carolina Law Adds Predictability to Litigation Involving Business Contracts	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.
Aug 6 2021	The End is Near for North Carolina's Hemp Pilot Program	Ward and Smith, P.A.
Jul 26 2022	Fireworks, Hot Dogs, and Bankruptcy?	Ward and Smith, P.A.

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