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 Sort descending
Feb 4 2015	Seventh Circuit: SEC Filing May Constitute Title VII Retaliation	Much Shelist, P.C.
May 29 2009	Loan Prepayment Penalties in Illinois: An Update on Enforceability	Much Shelist, P.C.
Feb 26 2011	The Illinois Securities Law: The Remedy Is Rescission	Much Shelist, P.C.
Jun 24 2011	Did I Really Sign That? When Signed Affidavits Are Altered Before Filing	Much Shelist, P.C.
Apr 3 2020	SBA Rolls Out Paycheck Protection Program	Much Shelist, P.C.
Nov 9 2011	Buyers Beware: Employee Non-Compete Agreements in the Sale of a Business	Much Shelist, P.C.
May 29 2009	Buy-Sell Agreements: The Corporate Prenup	Much Shelist, P.C.
May 17 2010	Finding Optimism in the Private Equity and Venture Capital Markets	Much Shelist, P.C.
Jul 22 2010	To Be or Not to Be a Director: Ten Questions to Ask About D & O Insurance	Much Shelist, P.C.
Sep 18 2010	New Illinois Law Restricts Employer Inquiries into Credit History	Much Shelist, P.C.
Feb 24 2011	Calculating Interest on Commercial Loans: Recent Legislation Expressly Permits Illinois Lenders to Use the "365/360" Method	Much Shelist, P.C.
Nov 10 2011	Social Media Perils: A Primer for Businesses	Much Shelist, P.C.
Apr 29 2020	SBA Issues Guidance Regarding Certification of PPP Loan Necessity - May 6, 2020	Much Shelist, P.C.
Jun 25 2020	We Received Our PPP Funds, Now What? An Updated Guide to Loan Forgiveness	Much Shelist, P.C.
Mar 5 2021	Pondering the Future of Telehealth	Much Shelist, P.C.
Sep 17 2013	Reminder: EEO-1 Employer Information Report Filing Deadline Is Fast Approaching	Much Shelist, P.C.
May 29 2009	Letters of Intent: Preliminary Negotiation or Binding Agreement?	Much Shelist, P.C.
Jun 7 2010	Insurance and Good Corporate Governance: A Modest Proposal	Much Shelist, P.C.
Nov 1 2010	HIPAA Amended: Your Business May Now Be Subject to Strict Confidentiality and Computer Security Requirements	Much Shelist, P.C.
Jan 27 2011	In One Hand and Out the Other: An Overview of Recent Federal and Illinois Tax Legislation Affecting Individuals and Corporations	Much Shelist, P.C.
Feb 17 2011	Changes in the Economic and Regulatory Environments Mean Changing Risks: Is Your Insurance Program Keeping Pace?	Much Shelist, P.C.
Mar 10 2011	Acquiring Troubled Assets: Making the Most of an Economic Downturn	Much Shelist, P.C.
Nov 14 2011	Leadership Transitions: Jobs vs. Buffett...or the Best of Both?	Much Shelist, P.C.
Nov 17 2011	Merchants Don't Be Caught Off Guard: Unsolicited Advertising in Faxes and Text Messages Expose You to Class Action Litigation	Much Shelist, P.C.
May 29 2009	Before You Buy Insurance, Consider a Risk Assessment	Much Shelist, P.C.
Oct 28 2010	New Accounting Rules on the Horizon for Leases	Much Shelist, P.C.
Mar 14 2011	A Guaranty Is a Guaranty Is a Guaranty, Except When It's Not: Understanding the Illinois Sureties Act	Much Shelist, P.C.
Mar 27 2011	He's an Independent Contractor...Or Is He?	Much Shelist, P.C.

Subscribe to The 10 Latest Financial, Banking, & SEC Articles

Trending News