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
Jan
12
2024
Regulatory Update and Recent SEC Actions 2024 Blank Rome LLP
Jan
11
2024
DOL Unveils Final Independent Contractor Rule Greenberg Traurig, LLP
Jan
11
2024
Canada Opens Consultation on Federal Plastics Registry Keller and Heckman LLP
Jan
11
2024
FINRA Annual Report Highlights Why Artificial Intelligence Data Management and Vendor Selection Protocols are Critical for Ensuring Regulatory Compliance Mintz
Jan
11
2024
Tortious Contractual Interference in New Jersey Stark & Stark
Jan
11
2024
Insider Trading in Physical Commodities Cadwalader, Wickersham & Taft LLP
Jan
11
2024
Hot Topics for 2024 Cadwalader, Wickersham & Taft LLP
Jan
11
2024
New York State Employers Must Provide Updated Record of Employment to Separating Employees (and Beyond) Proskauer Rose LLP
Jan
11
2024
Supreme Court Dismisses ADA Website Accessibility Class Action for Mootness, Vacates First Circuit Decision Pierce Atwood LLP
Jan
11
2024
Corporate Transparency Act Takes Effect with Beneficial Ownership Reporting Requirements Greenberg Traurig, LLP
Jan
11
2024
How the SEC’s New Clawback Rules Could Operate in Practice: A Hypothetical Barnes & Thornburg LLP
Jan
11
2024
Non-US Companies Face New Compliance Requirements Under the US Corporate Transparency Act Beginning in 2024 ArentFox Schiff LLP
Jan
11
2024
Hopping Towards Change: New Jersey Proposes A Crafty New Solution to the Special Ruling Norris McLaughlin P.A.
Jan
11
2024
If Corporate Charters Are Contracts, Must They Be Signed By The Corporation Or Shareholders? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
11
2024
I Say Again That Section 2116 Says Nothing About Officers Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
10
2024
Contracts Corner: Sponsorship Agreements McDermott Will & Emery
Jan
10
2024
USMCA Year Four Into Year Five ArentFox Schiff LLP
Jan
10
2024
FTC Will Hold Informal Hearing on Fake Reviews Rule Hunton Andrews Kurth
Jan
10
2024
EU Corporate Sustainability Due Diligence Directive Nearly Final Hunton Andrews Kurth
Jan
10
2024
Startup Advisors: What is a Convertible Note? [VIDEO] Foley & Lardner LLP
Jan
10
2024
Fourth Circuit Holds Per-Se Rule Does Not Apply in Bid-Rigging Case McDermott Will & Emery
Jan
10
2024
NLRB Wants Shuttered Starbucks Stores Reopened, Big Tech Retreats from DEI Programs, and Employers Scrap College Requirements [VIDEO, PODCAST] Epstein Becker & Green, P.C.
Jan
9
2024
The Wait Is Over: Corporate Transparency Act Takes Effect Bradley Arant Boult Cummings LLP
Jan
9
2024
Year-End 2023 Delaware Corporate and M&A Law Update Greenberg Traurig, LLP
Jan
8
2024
Nota Bene Episode 169: The State of the Semiconductor Industry with Reid Whitten of Sheppard Mullin [PODCAST] Sheppard, Mullin, Richter & Hampton LLP
Jan
8
2024
Ongoing Battles Remind Employers to Carefully Consider Their Approach to Arbitration Agreements Foley & Lardner LLP
Jan
8
2024
Corporate Transparency Act Requirements Begin In 2024 Hill Ward Henderson
Jan
8
2024
Corporate Transparency Act Requirements Begin in 2024 - Learn More on How This May Affect You and Your Business Hill Ward Henderson
 

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