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

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Mar
4
2024
Federal Court Strikes Down the Corporate Transparency Act as Unconstitutional Varnum LLP
Mar
4
2024
Lifting the Fog on the Foreign Corrupt Practices Act: Enforcement and Compliance Trends to Watch in San Francisco Bracewell LLP
Mar
4
2024
What Exactly Must A Board Approve When It Approves A Merger? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
4
2024
California Seeks to Regulation Employer Use of AI Hunton Andrews Kurth
Mar
2
2024
U.S. Corporate Transparency Act: CTA is Declared Unconstitutional in U.S. District Court Case Nelson Mullins
Mar
1
2024
FCC Approves Automated Frequency Coordination Systems Keller and Heckman LLP
Mar
1
2024
FTC Warns About Changing Terms of Service or Privacy Policy to Train AI on Previously Collected Data Sheppard, Mullin, Richter & Hampton LLP
Mar
1
2024
Soaring New Heights: The IRS’s Crackdown of Aircraft Usage by Corporations and High-Income Earners McDermott Will & Emery
Mar
1
2024
GT’s The Performance Review Episode 26: More Than a WARNing [Podcast] Greenberg Traurig, LLP
Mar
1
2024
13 Takeaways From Miami Cadwalader, Wickersham & Taft LLP
Mar
1
2024
For How Long Is That Proxy Valid? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
29
2024
D.C. Expands Coverage of Minimum Wage Law Epstein Becker & Green, P.C.
Feb
29
2024
SCOTUS Holds That SOX Whistleblowers Are Not Required to Prove Retaliatory Intent ArentFox Schiff LLP
Feb
29
2024
Badgerow Enforced: District Court Lacks Independent Jurisdiction to Enforce Arbitration Award McDermott Will & Emery
Feb
29
2024
Does Delaware Have Personal Jurisdiction Over Controlling Stockholders? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
29
2024
Harmful Gender Stereotypes or a Double Standard? Calvin Klein and GIRLvsCANCER Ads Banned in the UK Squire Patton Boggs (US) LLP
Feb
29
2024
SMALL BUSINESSES ANSWERED: FCC’s One to One Consent Will Not Only Harm Small Businesses But Consumers Too. Troutman Amin, LLP
Feb
29
2024
Action Required: Impact of Corporate Transparency Act on Investment Managers Katten
Feb
29
2024
A Guide for an IRS/Tax Whistleblower Oberheiden P.C.
Feb
29
2024
The Corporate Transparency Act and Foreign Entities: What You Need to Know and How We Can Help Sheppard, Mullin, Richter & Hampton LLP
Feb
28
2024
Attention, Illinois Employers: The Equal Pay Registration Certificate Submission Deadline Is March 24, 2024! Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
28
2024
Google Moves to Dismiss Third Complaint Alleging Tying of Google Maps API Services McDermott Will & Emery
Feb
28
2024
Upcoming/New CFIUS Filing: Cunova GmbH (Germany) and KME America Marine Tube & Fitting LLC (U.S.) Squire Patton Boggs (US) LLP
Feb
28
2024
Delaware Corporations Must Employ Procedural Safeguards When Approving a Reincorporation that Could Benefit a Controlling Stockholder to Avoid Entire Fairness Standard of Review Sheppard, Mullin, Richter & Hampton LLP
Feb
28
2024
FACING THE CONSEQUENCES: Court Recommends Denial of Motion to Set Aside Default Judgment and to Award Northeastern Power & Gas $106,591.58! Troutman Amin, LLP
Feb
28
2024
Another Implementer Hold Out Door Closes: The Death of the Anti-Suit Injunction? Mintz
Feb
28
2024
Erlaubnispflicht für Kreditdienstleister – Dienstleistungen für Non-Performing-Loans sind jetzt erlaubnispflichtig McDermott Will & Emery
Feb
28
2024
The False Claims Act in 2023: A Government Enforcement Update Bradley Arant Boult Cummings LLP
 

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