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Securities, SEC, & Financial Institution Law News

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 which 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 news readers 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.

Date Title Organization
26
Sep
SAFE Banking Act Passes House, Extends Cannabis Safe Harbor Protections McDermott Will & Emery
26
Sep
Click2Gov Portal Compromised in Eight Cities Robinson & Cole LLP
26
Sep
Privacy Tip #209 – Security Tips for Online Banking Robinson & Cole LLP
26
Sep
Final Hardship Distribution Regulations, Part Two: Implementation Considerations Proskauer Rose LLP
26
Sep
Taxable Advance Refunding Bonds and the World’s Most Boring Ice Cream Cone Squire Patton Boggs (US) LLP
26
Sep
R.I.P. 2003 and 2008 Predictive Dialer Rulings: District Court Reverses TCPA ATDS Ruling—Sinks Final Nail into Coffin of Once Popular TCPA Argument Squire Patton Boggs (US) LLP
26
Sep
Corporate Deposition — Multiple Witnesses At the Same Time? Pierce Atwood LLP
26
Sep
The Delaware Court of Chancery Enforces Clear and Unambiguous Terms of Merger Agreement in Finding Termination Fee Provision Did Not Afford Exclusive Remedy for Termination Cadwalader, Wickersham & Taft LLP
26
Sep
The Numbers Are In: The Recently Released Hart-Scott-Rodino Annual Report for Fiscal Year 2018 Provides an Overview of Antitrust Merger Enforcement Epstein Becker & Green, P.C.
26
Sep
California Enacts Another Risk Factor Allen Matkins Leck Gamble Mallory & Natsis LLP
25
Sep
Why You Should Consider Incorporating Your Start-Up in Delaware Mintz
25
Sep
Best Interest Standard of Care for Advisors #11 Drinker Biddle & Reath LLP
25
Sep
Best Practices When Liquidating Real Estate-Secured SBA Loans Ward and Smith, P.A.
25
Sep
SEC Proposes Rules to Update Statistical Disclosure Requirements for Bank and Savings and Loan Registrants Bracewell LLP
25
Sep
Final Rule on Institutional Accountability (Borrower Defense and Financial Responsibility) Published by U.S. Department of Education Drinker Biddle & Reath LLP
25
Sep
2019 Arizona Case Law Affecting Commercial Real Estate and Lending (September 2019) Ryley Carlock & Applewhite, A Professional Corporation
25
Sep
Court Holds Assignment Vitiates Contract Provision Limiting Damages Allen Matkins Leck Gamble Mallory & Natsis LLP
25
Sep
Brisk Walks and Pensions Reports Squire Patton Boggs (US) LLP
24
Sep
Final Hardship Distribution Regulations, Part One: Key Changes and Deadlines for Plan Sponsors Proskauer Rose LLP
24
Sep
Nevada: Hey, Don’t Forget About Me! Womble Bond Dickinson (US) LLP

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