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
May 26 2014	Racketeer Influenced and Corrupt Organizations Act (RICO) Liability For The Corporate Defendant	Sills Cummis & Gross P.C.
May 8 2020	UPDATED May 8, 2020- Timely Economic Relief Information: CARES Act, New York, and New Jersey Specific Information	Sills Cummis & Gross P.C.
Jun 5 2009	Roundtable: Part I – Corporate Internal Investigations: Early Stages	Sills Cummis & Gross P.C.
Mar 11 2020	The Coronavirus: Best Practices to Mitigate Risks in the Workplace	Sills Cummis & Gross P.C.
Nov 3 2011	The ABCs of Fidelity Bonds: What Policyholders Need to Know	Much Shelist, P.C.
Apr 30 2014	Corporate Board Oversight: Risk or Responsibility?	Much Shelist, P.C.
Jun 26 2014	Piercing the Corporate Veil: What You Find on the Other Side May Surprise You	Much Shelist, P.C.
Jun 5 2020	Congress Passes the Paycheck Protection Program Flexibility Act	Much Shelist, P.C.
Aug 11 2016	Transferring the Family Business Is About to Get More Costly	Much Shelist, P.C.
May 29 2009	Business as Usual? How Smart Companies Can Survive in Trying Economic Times	Much Shelist, P.C.
May 30 2010	The 365/360 Method of Calculating Interest: Lenders and Borrowers Square Off	Much Shelist, P.C.
Sep 23 2011	Recent NLRB Actions: Notice Posting Requirement, Proposed Election Rules and New Case Law Tilt Toward Organized Labor	Much Shelist, P.C.
Nov 22 2011	Lender's Losses in Fraud Case May Exceed 400% of Loan Amount	Much Shelist, P.C.
May 19 2020	We Received Our PPP Funds, Now What? SBA Provides Additional Guidance Regarding Loan Forgiveness	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.
Mar 12 2021	American Rescue Plan Act Provides $28.6 Billion in Relief for Restaurant Industry	Much Shelist, P.C.
Aug 9 2010	Is Electing an Independent Board Member Right for Your Business? Exploring the Pros and Cons	Much Shelist, P.C.
Mar 25 2024	Litigation Funding Series: Transactional Q&A	Much Shelist, P.C.
Feb 28 2010	Navigating the Distressed M&A Market: A Primer for Middle-Market Businesses	Much Shelist, P.C.
Dec 22 2010	Transferring Personally Identifiable Information in Bankruptcy: Beware the Debtor’s Privacy Policy	Much Shelist, P.C.
Jul 16 2011	Can a Forbearance Agreement Actually Help a Lender Collect from Its Debtor?	Much Shelist, P.C.
Sep 22 2011	Social Media in the Workplace: NLRB Offers Guidance for ALL Employers on Offensive Posts and Social Media Policies	Much Shelist, P.C.
Oct 26 2017	Farewell to the U.S. Department of Labor’s Final Rule	Much Shelist, P.C.
Dec 24 2012	"All Knowledge Is Inferential": Is the Use of Qualifiers In An Affidavit Sufficient?	Much Shelist, P.C.
Sep 17 2021	Enormous Changes to Estate Tax Planning May Be on the Horizon	Much Shelist, P.C.
Dec 11 2014	Interest-Charge Domestic International Sales Corporation (IC-DISC) Tax Benefits for Design Professionals Working Overseas	Much Shelist, P.C.
May 29 2009	Caution: Bumpy Roads Ahead for Your Securitized Loan	Much Shelist, P.C.
Jun 30 2009	1031 Exchanges: Protecting Your Sale Proceeds from a Qualified Intermediary's Creditors	Much Shelist, P.C.

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

Trending News