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.

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

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Custom text Organization
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Employee Stock Ownership Plans for Construction Companies: Part 3 Bradley Arant Boult Cummings LLP
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Top Five Labor Law Developments for January 2024 Jackson Lewis P.C.
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EPA Proposes Oil and Gas Sector Methane Fee Beveridge & Diamond PC
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Australia: Climate-Related Financial Disclosure: Exposure Draft Legislation K&L Gates
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Overhaul of the UAE’s Competition Law: Key Changes and Next Steps Bracewell LLP
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What’s Love Got to Do With It – Why Negotiating a Buy-Sell Agreement Is a Good Idea Even Among Family Business Owners Bradley Arant Boult Cummings LLP
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FTC Announces 2024 Increase in HSR Notification Thresholds and Filing Fees Bracewell LLP
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Hart-Scott-Rodino Reporting Threshold Increases by $8.1 Million Foley & Lardner LLP
Feb
5
2024
Weekly Bankruptcy Alert - February 5, 2024 (For the week ending February 4, 2024) Pierce Atwood LLP
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SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 K&L Gates
Feb
5
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California Legislature Proposes Modifications to CCPA for Children Under 18 Foley & Lardner LLP
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AI in 2024: What Every GC Needs to Know ArentFox Schiff LLP
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UK ICO Warns Organizations to Make Advertising Cookies Compliant Following Call to Action Hunton Andrews Kurth
Feb
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Does the Securities Exchange Act of 1934 Preclude Actions in State Court Under Corporations Code Section 25401? Allen Matkins Leck Gamble Mallory & Natsis LLP
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Venture Capital Financing: An Overview of Financing Documents Winstead
Feb
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Beltway Buzz, February 2, 2024 Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
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Employer Considerations for Responding to Right of Access Requests Under Article 15 of the GDPR Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
2
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Retailer’s Status as a “Financial Institution” Immunizes $1 Billion Fraudulent Transfer Proskauer Rose LLP
Feb
2
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Southwest Airlines’ Cyber Coverage Suit Takes Off Barnes & Thornburg LLP
Feb
2
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Trade Secrets Year in Review: 2023 Greenberg Traurig, LLP
Feb
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The Continued Attack on Non-Competes Ward and Smith, P.A.
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Vermont Considers Imposing Mandatory Worldwide Combined Reporting McDermott Will & Emery
Feb
2
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Biden’s AI Executive Order Achieves First Major Milestones (AI EO January Update) — AI: The Washington Report Mintz
Feb
2
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Estrada is Not a Death Knell to PAGA Defenses McDermott Will & Emery
Feb
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Protecting Your Family Business for When Marriages End Ward and Smith, P.A.
 

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