Financial, Securities & Banking

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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.

National Law Review Financial Regulation and Banking Law TwitterFor 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

Title
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Nov
23
2021
Getting Ready for the No Surprises Act [VIDEO] Epstein Becker & Green, P.C.
Aug
21
2020
Emergency Stay of TRO Against Ride Share Companies Means Californians Won’t Have To Live Without Services Epstein Becker & Green, P.C.
Mar
24
2021
#WorkforceWednesday: Labor Management Relations Under President Biden Epstein Becker & Green, P.C.
Mar
25
2021
Merger Reviews Likely to Address More Expansive—and Possibly New—Theories of Harm Epstein Becker & Green, P.C.
Sep
12
2019
Identifying 4(c) and 4(d) Documents for HSR Filings Epstein Becker & Green, P.C.
Sep
8
2020
California Adds More Exemptions to Controversial Independent Contractor Statute Epstein Becker & Green, P.C.
Oct
10
2019
The Failing Firm Defense Is an Absolute Defense to an Otherwise Anticompetitive Merger Epstein Becker & Green, P.C.
Dec
23
2021
Update Your NYC Job Postings—Employers Will Need to Display Salary Ranges Epstein Becker & Green, P.C.
Jan
31
2024
New Independent Contractor Rule Facing Multiple Legal Challenges Epstein Becker & Green, P.C.
Feb
1
2024
Revised HSR Thresholds Announced Epstein Becker & Green, P.C.
Nov
22
2019
It’s Time to Revisit Your Arbitration Agreements: Limitations on Mandatory Arbitration Agreements Continue to Spread Throughout the Country Epstein Becker & Green, P.C.
Oct
14
2020
Annual California Employment Law Update: New Laws for 2021 Provide COVID-19 Protections and Expand Family Leave Epstein Becker & Green, P.C.
Jan
26
2022
New York’s Expanded Whistleblower Protections and Notice Requirements Take Effect January 26, 2022 Epstein Becker & Green, P.C.
Oct
21
2020
#WorkforceWednesday: OFCCP Guidance on Diversity Training, Starbucks’ Diversity Plan, Time Off to Vote [VIDEO] Epstein Becker & Green, P.C.
Feb
6
2020
The New York State “Stop Hacks and Improve Electronic Data Security Act” (SHIELD Act) Becomes Effective March 21, 2020: Is Your Organization Ready to Achieve Compliance? Epstein Becker & Green, P.C.
Nov
5
2020
The Ransomware Pandemic Rages On: Tips and Tools to Mitigate Risk Epstein Becker & Green, P.C.
Nov
20
2020
COVID-19 Spike Prompts NJ Governor to Issue New Restrictions for Indoor Bars/Restaurants, Indoor Organized Sports, and Gatherings Epstein Becker & Green, P.C.
Mar
20
2020
D.C. Passes Emergency Legislation to Provide Additional Benefits to Employees in Response to Coronavirus Pandemic and to Provide Business Relief Epstein Becker & Green, P.C.
Mar
23
2020
Delaware Supreme Court Upholds Federal Forum Provision for Securities Act Claims Epstein Becker & Green, P.C.
Apr
7
2017
Thinx Again: Another Start-Up In Trouble After Prioritizing Culture Over HR Epstein Becker & Green, P.C.
Jun
1
2023
Health Care Fraud and Labor Unrest Top Today’s Docket – SCOTUS Today Epstein Becker & Green, P.C.
Mar
31
2020
You Are Excused: Force Majeure and the Workplace in the COVID-19 Era Epstein Becker & Green, P.C.
Apr
1
2020
#WorkforceWednesday:CARES Act, New Paid Leave, Duty to Bargain Epstein Becker & Green, P.C.
Jun
30
2023
Affirmative Action in College Admissions Takes a Hit, While Employer Accommodation for Religious Beliefs Is Expanded – SCOTUS Today Epstein Becker & Green, P.C.
Apr
22
2022
Board Diversification by Legislative Mandate? One California Court Says No. Epstein Becker & Green, P.C.
Jul
31
2023
The No Robot Bosses Act Aims to Regulate Workplace AI Epstein Becker & Green, P.C.
Aug
4
2021
President Biden’s Proposed Budget: Boon to Enforcement, Oversight, and Worker Protection Epstein Becker & Green, P.C.
Aug
15
2023
How Sellers Should Prepare for Transactional Diligence Epstein Becker & Green, P.C.
 

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