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

Title
Custom text Organization
May
15
2015
FINRA’s National Adjudicatory Council Strengthens Sanction Guidelines Related to Fraud and Suitability Katten
Aug
17
2017
Treasury Clarifies Effective Date of Revised Definition of ‘Available Amount’ Squire Patton Boggs (US) LLP
May
8
2019
CFTC Allows Certain Dealers and Merchants to Avoid Annual Privacy Notice Sheppard, Mullin, Richter & Hampton LLP
Jan
5
2024
Treasury Department and IRS Issue Guidance on SAF Credit Bergeson & Campbell, P.C.
Aug
13
2011
Money, Money, Money...Money Greenberg Traurig, LLP
Mar
4
2013
Whatever Your Impression is About Venture Capitalists, Understand These 4 Things First Michael Best & Friedrich LLP
Nov
21
2013
UK Capital Maintenance Principle May Restrict Damages Awards Morgan, Lewis & Bockius LLP
Jan
6
2016
Argentina Lifts Currency Exchange, Exports, and Imports Restrictions Sheppard, Mullin, Richter & Hampton LLP
Apr
29
2017
European Commission Publishes Speech on Equivalence and Supervisory Convergence Katten
Jan
2
2020
Second Circuit Holds that a “Personal Benefit” Is Not Required for Insider Trading Under Criminal Securities Statute Proskauer Rose LLP
Oct
6
2020
Trust Companies Face Increased Anti-Money Laundering Requirements K&L Gates
Oct
26
2023
A Name is Not Enough: Ninth Circuit Finds No Standing for First-to-File Shareholder to Appeal Securities Class Action Proskauer Rose LLP
Jan
26
2024
The Court of Appeal Judgment in the Adler Restructuring Plan: Pari Passu is Back! Cadwalader, Wickersham & Taft LLP
Jun
6
2014
CFTC (Commodity Futures Trading Commission) Staff Announces Expedited No-Action Relief for CPO (Commodity Pool Operators) Delegation Vedder Price
Sep
9
2016
Government Finance Officers Association, National Association of Bond Lawyers Release Post-Issuance Compliance Guidance Squire Patton Boggs (US) LLP
Jan
12
2017
Senate Democrats Question OCC’s Proposed FinTech Charters Covington & Burling LLP
Jan
25
2019
It’s That Time of Year: The BCFP’s Annual Adjustment to the Maximum Allowable Charge for Consumer Disclosures Womble Bond Dickinson (US) LLP
Jun
15
2020
FEMA Relief for Hospitals and Health Systems: What’s Covered and How to Apply Faegre Drinker
Dec
20
2021
CFPB Begins Scrutinizing Companies Using ‘Buy Now, Pay Later’ Credit Greenberg Traurig, LLP
Apr
11
2022
The SEC's Division of Examinations Publishes 2022 Examination Priorities and Previews Key Focus Areas for Registered Investment Advisers and Broker-Dealers K&L Gates
Jun
1
2018
US Department of Energy Geothermal Plan Offers Opportunity But Deadlines Approaching Squire Patton Boggs (US) LLP
Apr
24
2020
FCA Webpage on Financial Advisers’ Professional Indemnity Insurance Katten
Nov
29
2017
U.K. Regulator Critiques Legal Industry AML Compliance Ballard Spahr LLP
Feb
2
2018
Massachusetts High Court Addresses Investors’ and Boards of Directors’ Liability Under the Wage Act Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Sep
12
2019
Unforced Errors: Don't Leave a Ground of the Court's Ruling Unchallenged Carlton Fields
Oct
21
2021
As Global Supply Chain Risks Continue to Grow, Policyholders Need a Strategy in the Event of a Loss Hunton Andrews Kurth
Aug
8
2012
DOL Revises Guidance on Participant Fee Disclosures for Brokerage Window Investments McDermott Will & Emery
Aug
18
2017
SEC Defers Action on Application to List “Managed Portfolio Shares,” a Type of Non-Transparent, Actively Managed ETF Vedder Price
 

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