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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Dec 26 2023	2023 Year-End Estate Planning Update: Time to Act Now	Much Shelist, P.C.
May 26 2009	Quick Action: Proposed Legislation May Adversely Affect Transfer Taxation of Closely Held Business Interests	Much Shelist, P.C.
Jun 2 2009	Maximizing Your Position in a Tough Economy: Eight Strategies Every Business Should Consider	Much Shelist, P.C.
Apr 8 2024	Signs of Financial Distress in Sectors of Construction Market	Much Shelist, P.C.
Jan 21 2011	Insurance and the Accidental Property Owner	Much Shelist, P.C.
Feb 15 2011	401(k) Fees: A Hot Topic for Plan Fiduciaries and Participants	Much Shelist, P.C.
Mar 24 2014	Working Together Toward Employee Health: Federal Agencies Issue Final Regulations on Wellness Programs Under the Affordable Care Act (ACA)	Much Shelist, P.C.
Sep 16 2011	Lenders and Loan Servicers Take Note: You Must Now Secure and Maintain Vacant Buildings Under New Chicago Ordinance	Much Shelist, P.C.
Mar 19 2012	Can I Really Prevent an LLC from Filing for Bankruptcy? Maybe...	Much Shelist, P.C.
Sep 17 2021	Enormous Changes to Estate Tax Planning May Be on the Horizon	Much Shelist, P.C.
Mar 10 2013	What Can You Expect From Your Fidelity Bond?	Much Shelist, P.C.
Aug 19 2009	When Tenants Go Dark: Negotiating Exclusive Use Clauses in a Tenant-Friendly Market	Much Shelist, P.C.
Sep 24 2010	Section 363 Sales: Maximizing the Value of Your Assets in a Bankruptcy Case	Much Shelist, P.C.
Mar 18 2020	Insurance Coverage in the Time of Coronavirus: Business Interruption Coverage May Require Creativity	Much Shelist, P.C.
Sep 14 2011	Seeking Corporate Dissolution: One Way to Turn Up the Heat on a Deadbeat Debtor	Much Shelist, P.C.
Dec 8 2011	Non-Compete Agreements: A Brave New World in Illinois	Much Shelist, P.C.
Apr 9 2020	SBA Provides Guidance on Affiliation Rules for Paycheck Protection Program	Much Shelist, P.C.
Feb 4 2012	Buyers Beware: You May Be Assuming Superfund Liability in an Asset Deal	Much Shelist, P.C.
Mar 11 2013	Legal Notices in Bankruptcy Proceedings: To Read, or Not to Read?	Much Shelist, P.C.
Nov 24 2009	HIPAA Alert: Employers Should Update Their Policies in Light of Recent Amendments	Much Shelist, P.C.
Feb 6 2012	Reminder to Merchants: Your Receipts Must Truncate Credit and Debit Card Numbers as well as Expiration Dates	Much Shelist, P.C.
Oct 4 2012	The Clock is Ticking: Should You Act Before December 31, 2012?	Much Shelist, P.C.
Jun 5 2020	Congress Passes the Paycheck Protection Program Flexibility Act	Much Shelist, P.C.
Mar 7 2013	Illinois Mortgages Are Not Required to Disclose Interest Rate and Maturity	Much Shelist, P.C.
May 28 2009	Deeds in Lieu of Foreclosure: A Workout Strategy for Commercial Real Estate Owners and Their Lenders	Much Shelist, P.C.
Jun 17 2010	FTC Announces that it is Delaying Enforcement of the Red Flags Rule until December 31, 2010	Much Shelist, P.C.
Dec 5 2010	2010 Year-End Estate Planning: Navigating the Uncertainty	Much Shelist, P.C.
Dec 11 2011	Avoiding Gaps in Coverage When Changing Insurance Carriers	Much Shelist, P.C.

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