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 19 2009	Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies	Much Shelist, P.C.
Oct 26 2009	D&O Insurance: Why on Earth Would a Private Company Need It?	Much Shelist, P.C.
Mar 14 2022	New Reporting and Certification Requirements: Illinois Equal Pay Act Amendments	Much Shelist, P.C.
Mar 25 2024	Litigation Funding Series: Transactional Q&A	Much Shelist, P.C.
Mar 21 2014	Has Your Trust Lost Touch With Illinois? If So, It May Not Be Subject to Illinois Income Tax	Much Shelist, P.C.
Apr 22 2011	Breach of Fiduciary Duty in the Context of Insolvency: Can Individual Creditors Seek Recovery?	Much Shelist, P.C.
Aug 6 2011	Preparing to Transition Your Company: 10 Ways to Maximize the Value of Your Largest Asset	Much Shelist, P.C.
Aug 19 2011	Troubled Loan Workouts: Qualified Professionals Can Help Maximize Recovery for All Parties	Much Shelist, P.C.
Oct 22 2011	The Automatic Stay: What Creditors Need to Know	Much Shelist, P.C.
Dec 1 2023	Illinois Supreme Court Overturns Decades of Confusing Law on Insurance Coverage for Inadvertent Construction Defects	Much Shelist, P.C.
May 26 2009	The Devil Is in the Details (Part III): The Risky Intersection between Insurance Coverage and Corporate Transactions	Much Shelist, P.C.
Oct 27 2009	Settlement Counsel: Is It Right for Your Business?	Much Shelist, P.C.
Jan 21 2011	There's Something Happening Here (What It Is Ain't Exactly Clear)1: Is Illinois Non-Compete Law Changing?	Much Shelist, P.C.
Mar 18 2012	Contractual Non-Reliance Clauses: Insulating Defendants from Civil Fraud Claims Since 1995	Much Shelist, P.C.
Mar 10 2013	What Can You Expect From Your Fidelity Bond?	Much Shelist, P.C.
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.
Jun 25 2015	Illinois Legislative Watch: Bonding of Liens and the (Possible) Demise of Independent Counsel	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.
Mar 11 2013	Legal Notices in Bankruptcy Proceedings: To Read, or Not to Read?	Much Shelist, P.C.
Aug 19 2009	When Tenants Go Dark: Negotiating Exclusive Use Clauses in a Tenant-Friendly Market	Much Shelist, P.C.
Mar 18 2020	Insurance Coverage in the Time of Coronavirus: Business Interruption Coverage May Require Creativity	Much Shelist, P.C.

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