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 27 2020	Privacy and Security Considerations for Employers Grappling with Introducing Social Distancing and Contact Tracing Technologies in the Workplace	Epstein Becker & Green, P.C.
May 26 2021	CDC Guidance Fallout and Employment Legislation in Congress – Employment Law This Week [VIDEO]	Epstein Becker & Green, P.C.
Mar 10 2020	COVID-19, Work-from-Home Policies, and Maintaining Wage and Hour Compliance	Epstein Becker & Green, P.C.
Jun 24 2021	Back to the Future: The U.S. Department of Labor Proposes New Tip Credit Rule Reinstating Old Standard	Epstein Becker & Green, P.C.
Mar 26 2020	In Advance of April 1 Effective Date, DOL Issues Guidance on Families First Coronavirus Response Act	Epstein Becker & Green, P.C.
Apr 7 2020	California Court of Appeal Clarifies Circumstances Where So-Called “Unlimited” Vacation Policies May Trigger a Right to Wages	Epstein Becker & Green, P.C.
Jun 29 2023	Colorado Employers’ Pay Transparency Obligations Are Changing in 2024	Epstein Becker & Green, P.C.
Oct 3 2015	Update on Gender Disparity in the Workplace: The Report by Lean In and McKinsey	Epstein Becker & Green, P.C.
Jan 20 2021	How Big Can the Carrot Be? The EEOC’s New Proposed Rules Regarding Permissible Level of Incentives in Health-Contingent Workplace Wellness Programs	Epstein Becker & Green, P.C.
Aug 25 2021	Reminder to ERISA Fiduciaries: ERISA May Not Protect Fiduciaries from Liability Under State Law	Epstein Becker & Green, P.C.
Aug 16 2023	More Details Emerge about the “No Robot Bosses Act”: Congress’s Latest Effort to Regulate Automated Systems and Artificial Intelligence in Employment	Epstein Becker & Green, P.C.
Feb 12 2021	Bias in Healthcare Algorithms	Epstein Becker & Green, P.C.
Feb 25 2021	A Private Right to Seek Divestiture Under Section 7 of the Clayton Act – From Theory to Reality	Epstein Becker & Green, P.C.
Oct 27 2021	EEOC Updates COVID-19 Guidance to Address Vaccine Mandate Religious Exemptions	Epstein Becker & Green, P.C.
Oct 24 2023	The Validity of More Than a Decade’s Worth of Federal Regulations Are at Stake as the U.S. Supreme Court Decides the Constitutionality of the Consumer Financial Protection Bureau’s Funding Structure	Epstein Becker & Green, P.C.
Mar 11 2021	Hart-Scott-Rodino Reporting Thresholds Adjusted Downward	Epstein Becker & Green, P.C.
Jul 24 2020	U.S. Supreme Court Lets Stand Ninth Circuit Ban on ‘Salary History’ Defense to an Equal Pay Act Claim	Epstein Becker & Green, P.C.
Nov 23 2021	A Win for Tennessee and for Equitable Apportionment of Resources: SCOTUS Today	Epstein Becker & Green, P.C.
Aug 13 2020	Be Mindful of Overlapping Officers and Directors	Epstein Becker & Green, P.C.
Jan 28 2015	Hart-Scott-Rodino: Illegal Premerger Coordination Leads to DOJ “Gun Jumping” Enforcement Action and $5 Million Settlement	Epstein Becker & Green, P.C.
Aug 28 2020	Time Is Money: A Quick Wage-Hour Tip on … Teleworking	Epstein Becker & Green, P.C.
Feb 17 2018	OFCCP Issues Advance Notice to Federal Contractors of Potential Audit	Epstein Becker & Green, P.C.
Feb 23 2018	Notice to Financial Advisers: State Regulators Are Enforcing the DOL Fiduciary Rule	Epstein Becker & Green, P.C.
Oct 4 2019	Federal Court’s Approval of Settlement in Litigation Over Expenses Charged to Brokers Offers Guidance on Settlement of Parallel Class Actions	Epstein Becker & Green, P.C.
Apr 8 2021	FTC Annual Review Shows Focus on Health Care	Epstein Becker & Green, P.C.
Apr 26 2021	ARPA’s Impact on Multi-employer Pension Plans and Contributing Employers	Epstein Becker & Green, P.C.
Apr 22 2015	3 Key Points in OSHA’s Final Rule Governing Whistleblower Retaliation Complaints Under Section 806 of the Sarbanes-Oxley Act	Epstein Becker & Green, P.C.
Feb 11 2022	Succeeding in PPP Appeals	Epstein Becker & Green, P.C.

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