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
13
2024
Can the California Attorney General Enforce the Inspection Rights of Stockholders and Directors of Delaware Corporations? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
13
2024
What’s in a Job Advertisement—New D.C. Salary and Hourly Pay Disclosure Requirements Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
13
2024
Aggressive Procurement Collusion Enforcement Risk Remains High for 2024 Sheppard, Mullin, Richter & Hampton LLP
Feb
12
2024
How B2B Companies Can Incorporate Valentine’s Day Into Their Content Marketing and Social Media Efforts Stefanie Marrone Consulting
Feb
12
2024
Gold Dome Report – Legislative Day 19 (2024) Nelson Mullins
Feb
12
2024
Recent Union Success Should Wake Up Employers Foley & Lardner LLP
Feb
12
2024
EnforceMintz — DOJ’s Limited Use of NPAs and DPAs in Criminal Health Care Investigations Mintz
Feb
12
2024
EnforceMintz — DOJ’s Efforts in 2023 to Incentivize Voluntary Self-Disclosure Mintz
Feb
12
2024
EnforceMintz — DOJ and OIG Guidance Emphasizes the Importance of a Robust and Dynamic Compliance Program Mintz
Feb
12
2024
Municipal Retirement Boards and Joint Energy Boards May Now Hold Electronic Meetings Under the OMA Miller Canfield
Feb
12
2024
No Retaliatory Intent Needed: SCOTUS Eases Requirements for SOX Whistleblower Claims Dinsmore & Shohl LLP
Feb
12
2024
Foreign Extortion Prevention Act Criminalizes Bribery Demands by Foreign Officials Hunton Andrews Kurth
Feb
12
2024
New York County Commercial Division Decision Highlights the Hurdles Defendants Face in Asserting Fraudulent Inducement Defense to Breach of Contract Sheppard, Mullin, Richter & Hampton LLP
Feb
12
2024
Reminder: Michigan's Repeal of Right-to-Work Becomes Effective Feb. 13 Barnes & Thornburg LLP
Feb
12
2024
CIRCLE TCPA: Purple Thunder Polar Pop Text Message Lands Circle K In TCPA Class Action Troutman Amin, LLP
Feb
12
2024
Aggregate’s UK Restructuring Plan Sanction Hearing: Adler in Action Squire Patton Boggs (US) LLP
Feb
9
2024
Client Alert: Important Change in California Law Regarding Noncompete Provisions and/or Agreements Stubbs Alderton & Markiles, LLP
Feb
9
2024
SEC Adopts Final Rules Related to SPAC IPOs and De-SPAC Transactions Robinson & Cole LLP
Feb
9
2024
Striking a Balance: The Supreme Court and the Future of Chevron Deference Epstein Becker & Green, P.C.
Feb
9
2024
Three Individuals Sentenced for $3.5 Million COVID-19 Relief Fraud Scheme ArentFox Schiff LLP
Feb
9
2024
NICE WORK: Court Strikes Part of a TCPA Class Definition and Does A Really Nice Job Of Applying the Rules On Objective Pleading Troutman Amin, LLP
Feb
9
2024
Supreme Court Rules ‘Retaliatory Intent’ Not Required for Securities Whistleblower Protection Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
9
2024
Competition Currents | February 2024 Greenberg Traurig, LLP
Feb
9
2024
Supreme Court Rules Retaliatory Intent Not Required Under SOX Polsinelli PC
Feb
9
2024
“Handle” with Care: Second Circuit Clarifies Ownership Test for Social Media Accounts Wilson Elser Moskowitz Edelman & Dicker LLP
Feb
9
2024
Statusfeststellung und Legal-Tech-Compliance-Check McDermott Will & Emery
Feb
9
2024
OSH Law Primer, Part II: Creating Standards and Regulations Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
9
2024
No Entitlement to ‘Worker’ Rights When There Is a Power of Substitution, UK Supreme Court Rules Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
 

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