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
Oct 9 2013	Government Shutdown Day 8 Recap	Faegre Drinker
Mar 25 2015	Supreme Court Holds That Issuers Can Be Liable for Omitting Material Facts From Statements of Opinion in Omnicare Case	Mintz
Nov 13 2023	The Benefits of Donating Digital Assets to Charity	ASKramer Law
Dec 17 2012	North Carolina Court of Appeals Rule 60(b) Motion Cannot Be Used to Attack An Order That a Party Failed to Appeal	Womble Bond Dickinson (US) LLP
Jul 21 2020	Dodd-Frank Act: Ten Years Later and More Than $500 Million Paid to Whistleblowers	Kohn, Kohn & Colapinto
Mar 15 2022	Economic Crime (Transparency and Enforcement) Bill 2022 Becomes Law – Practical Implications of UK Property Ownership by Overseas Entities	Greenberg Traurig, LLP
Aug 31 2023	The Three Federal Banking Agencies Propose Long-Term Debt Requirement for All Large Banking Organizations	Cadwalader, Wickersham & Taft LLP
Aug 19 2014	In California, Servicer’s Error Leads to $16 Million Award	Bilzin Sumberg
Jul 18 2016	Appellate Division Finds No Jurisdiction Over Defendant Company After Sale of Its New York Assets: Be Sure to Sue Before Your Defendant Moves	Sheppard, Mullin, Richter & Hampton LLP
Nov 18 2016	What About Rollovers that Aren’t Recommended?: Interesting Angles on the DOL’s Fiduciary Rule #28	Faegre Drinker
Oct 14 2022	Financial Regulators Focus on Preservation of Ephemeral Messaging	Winstead
Nov 11 2015	Spokeo Oral Argument Before the U.S. Supreme Court	Greenberg Traurig, LLP
Mar 8 2016	What Does Americold Realty Trust Have To Do With Rule 147?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr 5 2019	California Publishes Final Student Loan Servicer Regulations; California Bill Introduced to Require Additional Information in Annual Borrower Benefits Notices	Ballard Spahr LLP
Jul 25 2019	Possible Delay of CECL for Certain Small Banks and Nonpublic Entities	Jones Walker LLP
Nov 6 2020	FinCEN Imposes First of its Kind Civil Penalty against Cryptocurrency Money Service Business	Squire Patton Boggs (US) LLP
Dec 4 2018	FCRA Disclosures: Too Much Information, Not Enough, or Just Right?	Womble Bond Dickinson (US) LLP
Nov 10 2021	SEC Commissioner Lee Reviews Scope of Reg BI in Light of Market Developments	Cadwalader, Wickersham & Taft LLP
Jun 4 2013	Understand Your Options For Exit Financing	Greenberg Traurig, LLP
Mar 27 2015	SEC Rule Change Would Require High-Frequency Traders to Register with FINRA	Proskauer Rose LLP
Mar 6 2020	FCA Publishes TechSprint Report	Katten
Nov 14 2023	Singapore to Share Cryptocurrency Tax Information With Other Countries	K&L Gates
Dec 8 2014	AIFM Directive – Latvia, Poland and Spain Warned by European Commission for Failing to Fully Implement New Investment Fund Rules	Katten
Apr 6 2018	DOJ Brings Suit Against Indirect Auto Lender Alleging Its Repossession Practices Violated The SCRA	Ballard Spahr LLP
Apr 28 2023	California Bill Would Require Some Advisers To Venture Capital Firms To File Diversity Reports, But What About Preemption?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep 5 2023	New UAE Rule Regarding the Mandatory Attestation of Import Invoices Could Help Combat TBML	Squire Patton Boggs (US) LLP
Apr 3 2012	The BankAtlantic Bancorp Decision — Roadblock or Detour to Open Bank Sale of Distressed Banks?	ArentFox Schiff LLP
Jul 21 2016	In California's Department of Business Oversight World, Money, Money, Money Transmitters	Allen Matkins Leck Gamble Mallory & Natsis LLP

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