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
Nov 14 2011	Leadership Transitions: Jobs vs. Buffett...or the Best of Both?	Much Shelist, P.C.
Nov 17 2011	Merchants Don't Be Caught Off Guard: Unsolicited Advertising in Faxes and Text Messages Expose You to Class Action Litigation	Much Shelist, P.C.
May 29 2009	Before You Buy Insurance, Consider a Risk Assessment	Much Shelist, P.C.
Oct 28 2010	New Accounting Rules on the Horizon for Leases	Much Shelist, P.C.
Mar 14 2011	A Guaranty Is a Guaranty Is a Guaranty, Except When It's Not: Understanding the Illinois Sureties Act	Much Shelist, P.C.
Mar 27 2011	He's an Independent Contractor...Or Is He?	Much Shelist, P.C.
Apr 1 2020	Next Steps for Small Businesses Applying for the Paycheck Protection Program	Much Shelist, P.C.
Apr 24 2012	Seventh Circuit Decision May Spur Limited Revival of HAMP Claims Against Loan Servicers	Much Shelist, P.C.
May 21 2012	Fill for the Funding Dip: EB-5 Visas	Much Shelist, P.C.
Mar 29 2010	Businesses at Risk: Protecting Your Valuable Data (Part 1)	Much Shelist, P.C.
Aug 3 2010	Forty Years in Commercial Real Estate: Weathering the Cycles of Boom, Bubble and Bust	Much Shelist, P.C.
Apr 20 2011	Arbitration and Mediation Clauses: Helpful Tools for Managing International Disputes	Much Shelist, P.C.
Aug 8 2011	Social Media: Is It a Part of Your Business Strategy?	Much Shelist, P.C.
Aug 18 2011	Enforcing Non-Competes: Illinois Court Further Defines Adequate Consideration	Much Shelist, P.C.
Apr 3 2020	SBA Rolls Out Paycheck Protection Program	Much Shelist, P.C.
Apr 23 2012	The Chapter 11 Creditors' Committee: A Seat at the Table for Unsecured Creditors	Much Shelist, P.C.
May 25 2012	What's in a Name? Identifying Individual Debtors in UCC Financing Statements	Much Shelist, P.C.
Sep 17 2014	Red Labor & Employment Flags In M&A Transactions	Much Shelist, P.C.
Aug 11 2016	Transferring the Family Business Is About to Get More Costly	Much Shelist, P.C.
Oct 11 2013	Trust vs. Best Practices: The Dangers Posed By Lien Waivers	Much Shelist, P.C.
May 19 2009	Assessing the Legal Consequences of Terms Commonly Found in Management Liability Insurance Policies	Much Shelist, P.C.
Oct 26 2009	D&O Insurance: Why on Earth Would a Private Company Need It?	Much Shelist, P.C.
Mar 21 2014	Has Your Trust Lost Touch With Illinois? If So, It May Not Be Subject to Illinois Income Tax	Much Shelist, P.C.
Apr 22 2011	Breach of Fiduciary Duty in the Context of Insolvency: Can Individual Creditors Seek Recovery?	Much Shelist, P.C.
Aug 6 2011	Preparing to Transition Your Company: 10 Ways to Maximize the Value of Your Largest Asset	Much Shelist, P.C.
Aug 19 2011	Troubled Loan Workouts: Qualified Professionals Can Help Maximize Recovery for All Parties	Much Shelist, P.C.
Oct 22 2011	The Automatic Stay: What Creditors Need to Know	Much Shelist, P.C.
Apr 29 2020	SBA Issues Guidance Regarding Certification of PPP Loan Necessity - May 6, 2020	Much Shelist, P.C.

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

Trending News