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

Custom text		Organization
Jan 2 2014	Design Patent Case Digest W.Y. Industries, Inc. v. Kari-Out Club LLC	Sterne, Kessler, Goldstein & Fox P.L.L.C.
Jan 1 2014	CalPERS’ Offbeat Personal Trading Policy	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 31 2013	Recent Copyright Cases Filed in Georgia - December 2013	Womble Bond Dickinson (US) LLP
Dec 31 2013	Dealing with Personal Information at the Water’s Edge… Re: U.S. Safe Harbor Program	Jackson Lewis P.C.
Dec 31 2013	Delaware Supreme Court Holds Liability of Corporation May Still Exist Following Dissolution	McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec 31 2013	A Short-Lived Victory for Generic Manufacturers? – Part 2	Sheppard, Mullin, Richter & Hampton LLP
Dec 30 2013	SEC (Securities and Exchange Commission) Reportedly Investigating CalPERS’ Stock Trades	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 30 2013	Employing Teenagers: What Businesses Need to Know	McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec 30 2013	EEOC (Equal Employment Opportunity Commission) Sues Guardsmark for Retaliation	U.S. Equal Employment Opportunity Commission
Dec 29 2013	Social Media Guidance Issued For Financial Institutions	Jackson Lewis P.C.
Dec 28 2013	Sixth Circuit Holds That Affiliated Business Arrangements Are Not Bound by HUD’s (Housing and Urban Development) Statement of Policy Regarding Sham Affiliated Business Arrangements (AfBA)	Sheppard, Mullin, Richter & Hampton LLP
Dec 28 2013	New California LLC Law Requires Members to Reconsider Their Operating Agreement	McDermott Will & Emery
Dec 27 2013	Asahi’s Morning Sun – Court Holds Parent And Its Managers May Be Liable For Interfering With Subsidiary’s Contract	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 27 2013	New Notice Requirements for New Jersey and Jersey City Employers	Jackson Lewis P.C.
Dec 26 2013	Design Patent Case Digest: Spencer v. Taco Bell Corp.	Sterne, Kessler, Goldstein & Fox P.L.L.C.
Dec 26 2013	Pre-Merger Activities Don’t Give Rise To Cartwright Act Violation	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 26 2013	Design Patent Case Digest: High Point Design LLC and Meijer, Inc., Sears Holding Corp. and Wal-Mart Stores, Inc. v. Buyers Direct, Inc.	Sterne, Kessler, Goldstein & Fox P.L.L.C.
Dec 25 2013	English Court Finds Shareholder Default Provisions Unenforceable as a Penalty	Morgan, Lewis & Bockius LLP
Dec 25 2013	And on the 12th Day of Privacy, Something for Directors…..Mind the Gap! Re: Cyber Risks	Mintz
Dec 25 2013	Reform Opens Door to Private Investment in Mexico’s Energy Sector	Morgan, Lewis & Bockius LLP
Dec 25 2013	Webinar Recording: CBM (Covered Business Method) Turns One	Sterne, Kessler, Goldstein & Fox P.L.L.C.
Dec 24 2013	Partnership Considerations When Converting to Corporate Status	McBrayer, McGinnis, Leslie and Kirkland, PLLC
Dec 24 2013	New York Increases Minimum Wage, Salaries as of December 31	Morgan, Lewis & Bockius LLP
Dec 23 2013	Federal Trade Commission (FTC) Approves Consent Order Regarding “Made in USA” False Claims	Sheppard, Mullin, Richter & Hampton LLP
Dec 23 2013	Cap on Bankers’ Bonuses: More Guidance Issued from European Banking Authority	Morgan, Lewis & Bockius LLP
Dec 22 2013	Securities and Exchange Commission (SEC) Proposes Rules for “Regulation A+” Offerings	Katten
Dec 22 2013	Commissioner of California Department of Business Oversight Issues Order on Designated Point of Contact for Delivery of Emails	Sheppard, Mullin, Richter & Hampton LLP
Dec 21 2013	Agencies Issue Proposed Guidance on Tax Allocation Agreements Between Insured institutions and Their Holding Companies	Katten

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