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

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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.
Nov 22 2011	Lender's Losses in Fraud Case May Exceed 400% of Loan Amount	Much Shelist, P.C.
Dec 15 2020	Paycheck Protection Program: What's Next for Borrowers?	Much Shelist, P.C.
Jun 25 2020	We Received Our PPP Funds, Now What? An Updated Guide to Loan Forgiveness	Much Shelist, P.C.
Apr 7 2021	OSHA's COVID-19 National Emphasis Program to Focus on High-Risk Industries	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.
Mar 5 2010	Roth IRAs: The Conversion Decision	Much Shelist, P.C.
Aug 27 2010	Confession of Judgment in Illinois: A Deceptively Simple Remedy	Much Shelist, P.C.
Jun 25 2015	Illinois Legislative Watch: Bonding of Liens and the (Possible) Demise of Independent Counsel	Much Shelist, P.C.
Dec 28 2020	Paycheck Protection Program Round 2: The Highlights	Much Shelist, P.C.
May 19 2020	U.S. Treasury and SBA Issue Additional Guidance and Clarification on PPP "Good-Faith Certification"	Much Shelist, P.C.
Dec 24 2012	"All Knowledge Is Inferential": Is the Use of Qualifiers In An Affidavit Sufficient?	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.
Feb 4 2015	Seventh Circuit: SEC Filing May Constitute Title VII Retaliation	Much Shelist, P.C.
May 29 2009	Loan Prepayment Penalties in Illinois: An Update on Enforceability	Much Shelist, P.C.
Feb 26 2011	The Illinois Securities Law: The Remedy Is Rescission	Much Shelist, P.C.
Jun 24 2011	Did I Really Sign That? When Signed Affidavits Are Altered Before Filing	Much Shelist, P.C.
Nov 9 2011	Buyers Beware: Employee Non-Compete Agreements in the Sale of a Business	Much Shelist, P.C.
Dec 28 2020	The Show Must Go On: Stimulus Package Provides Relief for Venue Operators	Much Shelist, P.C.
May 27 2009	Credit Card Companies Are Not Liable for Contributory Copyright Infringement	Clark & Trevithick
Aug 5 2009	Early Risk Assessment Reduces Receivable Problems	Clark & Trevithick
Aug 5 2009	Considerations for Troubled Borrowers Approaching Loan Workouts	Clark & Trevithick
Nov 4 2009	FTC Delays Identity Theft Red Flags Rule for Fourth Time	Day Pitney LLP
Jul 20 2009	Equitable Receivership as an Alternative to Bankruptcy	Fairfield and Woods P.C.
Jul 20 2009	Voluntary Binding Arbitration Agreements? Think Before You Act	Fairfield and Woods P.C.

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