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
Jan 30 2023	Inflation Reduction Act: EPA Invites Stakeholder Input on Grant/Technical Assistance Programs for Lower-Embodied Carbon Construction Materials, Standards	Greenberg Traurig, LLP
Apr 3 2015	SEC Uses Books and Records and Internal Control Regulations to Extend Reach of Actions Beyond Fraud	Faegre Drinker
Jul 17 2017	Treasury Issues Report on Regulatory Reform in the Banking Sector	ArentFox Schiff LLP
Oct 19 2022	401(k) Compliance Check #10: Magic Words – Best Practices for 401(k) Plan SPDs	Foley & Lardner LLP
Jun 18 2013	Final Section 336(e) Regulations Allow Step-Up in Asset Tax Basis in Certain Stock Acquisitions	Sheppard, Mullin, Richter & Hampton LLP
Dec 14 2014	SEC Approves Municipal Securities Rulemaking Board (MSRB) Best Execution Rule	Katten
Nov 19 2015	SEC Exam Staff Shares Observations on Outsourced Chief Compliance Officers	Morgan, Lewis & Bockius LLP
Mar 28 2016	Does Anyone Remember Y2K – California Does!	Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr 13 2018	D.C. Circuit panel questions Mulvaney’s dual CFPB/OMB roles in English appeal oral argument	Ballard Spahr LLP
Dec 6 2019	Real Property & Financial Services Update: Week Ending November 29, 2019	Carlton Fields
May 27 2020	Health Emergency Preparedness Task Force: COVID-19 Economic Stimulus	Greenberg Traurig, LLP
May 2 2023	FRB, FDIC Deliver Reports and Take Some Blame on Silicon Valley Bank and Signature Bank Failures; More Regulation Ahead	K&L Gates
Nov 16 2023	Part II: NFT Lending — Legal Issues Involving Secured Transactions under the UCC, Pre- and Post-Article 9 and 12 Amendments	Proskauer Rose LLP
Apr 26 2012	Michigan Court of Appeals Issues Opinion Affecting Mortgages Foreclosed by Advertisement	Varnum LLP
Jan 11 2013	The FTC’s Interim Final Red Flags Rule: What It Means for Non-Bank, Short-Term Consumer Lenders	Katten
Jul 24 2015	It’s Time to Rewrite Wisconsin’s Single-Party Listing Agreement	Foley & Lardner LLP
Aug 5 2019	Amendments to ‘Volcker Rule’ to Exclude Certain ‘Small’ Banks From Key Prohibitions	Greenberg Traurig, LLP
Sep 6 2023	Court Affirms Finding Of An Oral Trust And Breach Of Duty By The Trustee	Winstead
Feb 22 2021	FINRA’s Focus on Variable Annuity Switches Continues	Faegre Drinker
Apr 7 2011	Foreign Corrupt Practices Act Trends	Vedder Price
Mar 27 2017	Financial Services Regulatory Reform Poised to Move Ahead
Mar 13 2020	UK Gambling Commission Cracks Down in Respect of Money Laundering Failures	Cadwalader, Wickersham & Taft LLP
Dec 17 2018	Education Dept. To Discharge Federal Student Loans Under Borrower Defense Rule	Ballard Spahr LLP
Nov 12 2020	SEC Harmonizes and Improves “Patchwork” Private Offering Framework	Mintz
Jul 25 2022	District Court Shows Timeshare “Exit” Attorney the Exit	K&L Gates
Apr 3 2015	Second Circuit Denies DOJ’s Request for En Banc Review of Newman	Proskauer Rose LLP
Aug 8 2016	FinCEN FAQs Clarify Customer Due Diligence Regulations	Dinsmore & Shohl LLP
Jul 19 2017	HSAs and the ERISA Fiduciary Rule: What Employers Should Know	Michael Best & Friedrich LLP

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