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
Oct
6
2020
Financial Reporting Council Stewardship Code Early Reporting Review Cadwalader, Wickersham & Taft LLP
Mar
16
2023
President Biden Threatens First Veto Over Congressional Nullification of DOL Regulation Enabling Consideration of ESG Factors Mintz
Feb
14
2024
SEC Expands “Dealer” Definition Hunton Andrews Kurth
Sep
3
2016
UK Financial Conduct Authority Trade Association (FCA) Roundtable on MiFID II Implementation August 3 2016 Katten
May
18
2018
ECB Publishes Article on Impact of Brexit Transition Period Katten
Jan
19
2019
Head’s Up: Changes Made to California Civil Code Section 1542 Sheppard, Mullin, Richter & Hampton LLP
Sep
11
2019
Best Practices for Plan Sponsors #11 Faegre Drinker
Apr
19
2012
Federal Trade Commission to host mobile payment workshop Mintz
Aug
2
2023
Federal Court Declines to Follow Ripple Holding Hunton Andrews Kurth
Jun
2
2013
The Libor Scandal: What's Next? Re: London Interbank Offered Rate Sheppard, Mullin, Richter & Hampton LLP
Oct
11
2023
Australia: Mandatory Climate Disclosure – October Update K&L Gates
Apr
25
2016
Will Panama Papers Lead to FinCEN Panama Rules? Morgan, Lewis & Bockius LLP
Sep
13
2018
Best Interest and Best Practices: Improving Retirement Outcomes #1 Faegre Drinker
Jun
12
2020
Paycheck Protection Program Update Stark & Stark
Mar
17
2011
CFTC Proposes to Eliminate Certain Fund Exemptions and Extend Regulation of Commodity Pool Operators and Commodity Trading Advisors Under Dodd-Frank Bracewell LLP
Jun
7
2023
Complying with the New SEC Marketing Rule: Seven Months in and Still Adapting Proskauer Rose LLP
Dec
19
2012
SBA Economic Injury Disaster Loans Now Available in Michigan Varnum LLP
Apr
27
2017
Financial Industry Regulatory Authority Updates Its Sanction Guidelines Sheppard, Mullin, Richter & Hampton LLP
May
8
2015
SEC Proposes Rules for Security-based Swap Activity of Non-US Persons in the United States Katten
Jan
6
2017
Massad to Step Down as CFTC Chairman Covington & Burling LLP
Mar
25
2020
Loan Modifications Related to COVID-19 Jones Walker LLP
Apr
1
2022
As Regulators Double Click on Crypto, CBDC and Stablecoins Remain Favorites Proskauer Rose LLP
Jan
9
2015
FINRA Rings in 2015 with its Annual Priorities Letter for Broker-Dealers Greenberg Traurig, LLP
Aug
25
2015
New FINRA Rule 2040 Becomes Effective Greenberg Traurig, LLP
Aug
10
2017
DOL to Propose Extension of Fiduciary Rule Transition Period Morgan, Lewis & Bockius LLP
Jan
2
2020
SDNY Rejects Director Liability for Sarbanes-Oxley Whistleblower Claims, Creating a Split Among Federal District Courts Polsinelli PC
Jan
31
2022
Loyalty Programs in the California AG’s Crosshairs Once Again Squire Patton Boggs (US) LLP
Sep
6
2016
NYSE Guidance on Equity Plan Amendments for Maximum Share Withholding Morgan, Lewis & Bockius LLP
 

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