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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Feb
21
2024
Does Being “Left to Guess” Establish Standing for Injunctive Relief After TransUnion? Hunton Andrews Kurth
Feb
21
2024
CPSC Emphasizes Priorities at ICPHSO Annual Meeting Mintz
Feb
21
2024
Vice Chancellor Laster Rules That It Is "Reasonably Conceivable" That Nevada Provides Greater Protection Against Fiduciary Liability Than Delaware Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
20
2024
OCC Proposes Changes to Bank Merger Act Rules and Provides Guidance on its Review Process Hunton Andrews Kurth
Feb
20
2024
Private Credit Trends: Executive Compensation Considerations in Out-of-Court Restructurings Proskauer Rose LLP
Feb
20
2024
Don’t Let Your LLC Expire: LLC Owners Should Check Formation Documents to Confirm Perpetual Duration Stark & Stark
Feb
20
2024
Showdown at the Ballot Box – Business and Labor Load Up on Ammunition for PAGA Brawl Proskauer Rose LLP
Feb
20
2024
Weekly Bankruptcy Alert - February 20, 2024 (For the week ending February 18, 2024) Pierce Atwood LLP
Feb
20
2024
Profit-Sharing Arrangement Tied to Employer’s Overall Profits Not Subject to Massachusetts Wage Act Mintz
Feb
20
2024
Emerging Businesses and Venture Capital in 2024: 10 Hot Topics for Founders, Investors, and Executives of Emerging Companies ArentFox Schiff LLP
Feb
19
2024
Nowhere to Run to Baby, Nowhere to Hide: An Overview of the New York LLC Corporate Transparency Act and Its Disclosure Requirements Cadwalader, Wickersham & Taft LLP
Feb
19
2024
Private 5G and the Future of Corporate Telecommunications Bradley Arant Boult Cummings LLP
Feb
19
2024
California Supreme Court Limits Manageability Defense to PAGA Claims Foley & Lardner LLP
Feb
19
2024
Regulation: European Council Declines to Mandate that Director Care Obligations Require Consideration of Sustainability Matters Cadwalader, Wickersham & Taft LLP
Feb
19
2024
Belgium: Employee Training – You Need a Plan (And Fast)! Squire Patton Boggs (US) LLP
Feb
19
2024
Multistate Monday: The Top 6 Groundhog Day Compliance Issues From Onboarding to Terminations and Everything in Between [Podcast] Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
19
2024
Climate-Related Financial Disclosures: What are They and What do They Mean? K&L Gates
Feb
16
2024
NLRB Finds Common Provisions in Mortgage Lender Employment Contract Illegal Sheppard, Mullin, Richter & Hampton LLP
Feb
16
2024
(mis)Conduct, Money & Reputation | Diversity, Financial Crises & Conformity [PODCAST] Katten
Feb
16
2024
What To Do When A Business Entity Has Been Wrongfully Begotten Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
16
2024
Recent Federal Developments for February 2024 Bergeson & Campbell, P.C.
Feb
15
2024
Episode 60: DACA, Fee Hikes and Immigration Benefits of Citizenship [Podcast] Berry Appleman & Leiden
Feb
15
2024
Cadwalader Climate Cadwalader, Wickersham & Taft LLP
Feb
15
2024
China Newsletter | Q3 2023/Issue No. 58 Greenberg Traurig, LLP
Feb
15
2024
Can Legislative History Restore a Repealed IRC Provision? Miller Canfield
Feb
15
2024
Fifth Circuit is Set to Weigh in on NLRB’s Enhanced Financial Remedies Hunton Andrews Kurth
Feb
15
2024
GT’s The Performance Review Episode 25: We WARNed You [Podcast] Greenberg Traurig, LLP
Feb
15
2024
Lost Connection: Preliminary Injunction Against Unreleased Product Is a No-Go McDermott Will & Emery
 

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