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

Custom text		Organization
Nov 3 2011	Department of Labor's Administrative Review Board Interprets Term "Adverse Action" Under SOX More Expansively Than It Is Interpreted Under Title VII	Sheppard, Mullin, Richter & Hampton LLP
Nov 2 2011	Walmart Sees the Light for Parking Lots	U.S. Department of Energy
Oct 31 2011	ISS Requests Comments on Proposed Hydraulic Fracturing Policy	Bracewell LLP
Oct 31 2011	Second Circuit's Citigroup Decision Endorses Presumption of Prudence, Upholds Dismissal of Disclosure Claims	Morgan, Lewis & Bockius LLP
Oct 29 2011	Negotiating Franchise Sales In California	Armstrong Teasdale
Oct 29 2011	Hilton Reservations Worldwide employees to receive more than $715,000 in minimum, overtime back wages following US Labor Department investigation	U.S. Department of Labor
Oct 28 2011	Trade Commission Likely to Play Growing Role in U.S. Renewable Energy	Michael Best & Friedrich LLP
Oct 28 2011	Long-Standing Software Patent Claim Format Under Attack	Neal, Gerber & Eisenberg LLP
Oct 28 2011	OFAC, BIS Double Up Flow Serve: What the Flowserve Settlement Says About Corporate Compliance Programs	Sheppard, Mullin, Richter & Hampton LLP
Oct 27 2011	Public Companies: SEC Issues Guidance on Cybersecurity Disclosures	McDermott Will & Emery
Oct 27 2011	Convertible Debt Financing: Thoughts on the Default Conversion Price	Michael Best & Friedrich LLP
Oct 27 2011	Small Business Savvy? Senate Bill Would Undercut New SBA Regulations	Sheppard, Mullin, Richter & Hampton LLP
Oct 27 2011	Making Brand Connections with Social Media	Greenfield/Belser Ltd.
Oct 26 2011	Wisconsin Insurance Law Amended to Conform with Federal Adult Child Coverage Requirements; State Tax Law Expected to be Amended Soon	von Briesen & Roper, s.c.
Oct 26 2011	Obama Housing Plan Gets Faint Praise	Center for Public Integrity
Oct 24 2011	SEC Asks Public Companies to Disclose Cyber Attacks	Barnes & Thornburg LLP
Oct 23 2011	ECJ Gets Tough with The Commission on Parental Liability	McDermott Will & Emery
Oct 22 2011	Dodd-Frank Update — Several Regulatory and Legislative Proposals of Note	Greenberg Traurig, LLP
Oct 21 2011	Tenth Circuit Finds Potential Insurance Coverage for Patent Infringement Claims Under “Advertising Injury” Provisions	Morgan, Lewis & Bockius LLP
Oct 20 2011	Hooters Sues Competitor over Alleged Trade Secrets Theft after Top Executives Fly Away	Michael Best & Friedrich LLP
Oct 20 2011	The Rule of the 5 W’s Even Works in a Crisis – It just Works a Lot Faster	Iori & Associates
Oct 20 2011	US Department of Labor obtains judgment to distribute $1.35 million to participants of Minneapolis-based Northland Inn's 401(k) plan	U.S. Department of Labor
Oct 19 2011	Individual Liability for Wage and Hour Claims	Greenberg Traurig, LLP
Oct 18 2011	Compliance Deadline Looms for New Transparency in Supply Chains Act	Sheppard, Mullin, Richter & Hampton LLP
Oct 18 2011	The Coverage Question	Risk and Insurance Management Society, Inc. (RIMS)
Oct 17 2011	Delaware Supreme Court Clarifies When a Series of Dispositions will not Trigger an "All or Substantially All" Indenture Covenant	Sheppard, Mullin, Richter & Hampton LLP
Oct 14 2011	Update: Netflix Scraps Plan To Separate Its Business	Armstrong Teasdale
Oct 14 2011	Easy Steps To Avoid Having Your Brand Used In An Adult Website Address	von Briesen & Roper, s.c.

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