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
Sep 23 2011	Creditors of a Delaware LLC Do Not Have Standing to Sue Derivatively and Must Rely on Contractual Remedies	Greenberg Traurig, LLP
Sep 23 2011	NLRB Releases Poster For Posting By November 14, 2011	McDermott Will & Emery
Sep 23 2011	Recent NLRB Actions: Notice Posting Requirement, Proposed Election Rules and New Case Law Tilt Toward Organized Labor	Much Shelist, P.C.
Sep 23 2011	LSTA Finalizes Distressed Buy-In/Sell-Out Provisions	Hunton Andrews Kurth
Sep 23 2011	The UK Takeover Code: Significant Changes Come Into Effect	Morgan, Lewis & Bockius LLP
Sep 22 2011	Louisiana Franchise Tax—No Tax on Corporate Limited Partners with No Louisiana Nexus	Hunton Andrews Kurth
Sep 22 2011	Countrywide Protected Fraudsters by Silencing Whistleblowers, Say Former Employees	Center for Public Integrity
Sep 22 2011	12 Things You Can Do Now, To Improve Your Security	Roland Schorr & Tower
Sep 22 2011	Social Media in the Workplace: NLRB Offers Guidance for ALL Employers on Offensive Posts and Social Media Policies	Much Shelist, P.C.
Sep 21 2011	Q&A for Employers: Understanding the Impact of Illinois' New Civil Union Act	Much Shelist, P.C.
Sep 21 2011	DC Circuit’s Proxy Access Decision to Stand, but SEC to Allow “Private Ordering” of Proxy Access	Hunton Andrews Kurth
Sep 21 2011	EBSA Issues Interim Policy on Electronic Disclosure Under 29 CFR 2550.404A-	U.S. Department of Labor
Sep 21 2011	NLRB Releases Report on Social Media Decisions	McDermott Will & Emery
Sep 20 2011	Limited Time to Block Use of Your Mark in New Adult Entertainment Internet Domain	Hunton Andrews Kurth
Sep 19 2011	Ad Hoc Committees Owe Fiduciary Duties? WaMu Threatens To Turn a Molehill Into a Mountain.	Bracewell LLP
Sep 19 2011	OFAC Settles Alleged Sanctions Violations for $88.3 million	Sheppard, Mullin, Richter & Hampton LLP
Sep 18 2011	Second Circuit Holds that Falsity of Estimates of Goodwill and Loan Loss Reserves For Purposes of Sections 11 and 12(a)(2) of the Securities Act of 1933 Hinges on the Speakers' Subjective Belief in the Estimates' Accuracy	Sheppard, Mullin, Richter & Hampton LLP
Sep 17 2011	The Top Six Blunders in Dealing with the Cloud	Hunton Andrews Kurth
Sep 16 2011	Navigating Wisconsin State Income Tax Credit Incentives	Michael Best & Friedrich LLP
Sep 14 2011	Seeking Corporate Dissolution: One Way to Turn Up the Heat on a Deadbeat Debtor	Much Shelist, P.C.
Sep 14 2011	Proposed cybersecurity legislation would protect employers from information theft by departing employees, if a policy prohibits such conduct	Greenberg Traurig, LLP
Sep 13 2011	Amendments to SEC Rule 14a-8 Allowing Shareholder Proposals for Proxy Access Regimes to Come into Effect	Sheppard, Mullin, Richter & Hampton LLP
Sep 11 2011	Solyndra Investigation Expands as Agents Visit Executives’ Homes	Center for Public Integrity
Sep 11 2011	U.S. Immigration and Customs Enforcement Continues Trend of Employer I-9 Investigations	Vedder Price
Sep 11 2011	Federal Contractor Options under New NLRB Posting Requirement	Michael Best & Friedrich LLP
Sep 11 2011	Decision Time: Trademarks and the New World of Domain Names	Morgan, Lewis & Bockius LLP
Sep 10 2011	U.S. Congress Passes Historic Patent Reform Bill	Barnes & Thornburg LLP
Sep 9 2011	America Invents Act Passed by Congress	Michael Best & Friedrich LLP

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