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

Title
Custom text Organization
Mar
3
2015
AICPA Issues Interpretation Clarifying Application of Third-Party Due Diligence Report Rules to AUP Engagements Morgan, Lewis & Bockius LLP
Jun
30
2016
U.S. Targets Private Equity Funds for FCPA Scrutiny Sheppard, Mullin, Richter & Hampton LLP
Jun
28
2023
FINRA Approves Prometheum Ember Capital LLC to Operate as Special Purpose Broker-Dealer for Digital Assets Greenberg Traurig, LLP
Dec
21
2017
Beyond Best Practices: Regulatory Compliance Now a Necessity in the Cryptocurrency Sector Ballard Spahr LLP
Mar
14
2022
Climate Change Rules on the Horizon Nelson Mullins
May
12
2013
Financial Industry Regulatory Authority (FINRA) Provides Guidance on Communications with the Public Concerning Unlisted Real Estate Investment Programs Katten
Jul
29
2014
The “Accredited Investor” Question Re: Securities Regulation Lewis Roca Rothgerber LLP
Oct
15
2015
SEC Settles Charges Against Investment Adviser for Failing to Adopt Adequate Cybersecurity Policies and Procedures in Advance of Data Breach Vedder Price
Jun
28
2017
Pilot Program to Use Blockchain to Trade Electricity? K&L Gates
Mar
18
2019
New OFAC CAPTA List Targets Foreign Banks Squire Patton Boggs (US) LLP
Jul
10
2020
Another Win for Michigan First – Credit Reporting was Accurate Squire Patton Boggs (US) LLP
Dec
16
2020
Wisconsin Municipalities May Not Appeal a Board of Review’s Reduction of Property Tax Assessment Foley & Lardner LLP
Jan
19
2023
SEC Whistleblowers Receive $18 Million After Tips Lead to Return of Funds to Harmed Investors Kohn, Kohn & Colapinto
Nov
25
2012
UK Financial Services Authority (FSA) Requires Asset Managers to Address Conflicts of Interest Katten
Apr
15
2014
Five Key Issues for the Parties to a Sublease Sherin and Lodgen LLP
Jun
25
2015
SEC Proposes Amendments to Form ADV and Investment Advisers Act Rules Faegre Drinker
Nov
9
2018
FDCPA Did Not Apply to Auto Repossessor's Demand for Property Retrieval Fee, Seventh Circuit Rules Ballard Spahr LLP
May
13
2020
PPP Safe Harbor Guidance on the Loan Necessity Certification Hill Ward Henderson
Oct
29
2021
Fintech Forward: The Intersection of Cryptocurrencies And NFTs [PODCAST] K&L Gates
Jul
5
2016
Closing Out Derivative Contracts Following Brexit Squire Patton Boggs (US) LLP
Jul
11
2019
A Tale of Two Continents - European CMBS v U.S. CMBS & CRE CLOs Cadwalader, Wickersham & Taft LLP
Feb
18
2020
FCA Takes Action on Persistent Credit Card Debt Squire Patton Boggs (US) LLP
Jul
15
2022
MICA Regulation: The EU Parliament’s Position on ‘Proof-of-Work’ Mechanism Greenberg Traurig, LLP
Nov
2
2010
Two Recent Cases Shed Light on Liquidated Damages Vedder Price
Feb
6
2021
Biden Administration Requests Review of DOL’s Final “ESG” Rules for ERISA Fiduciaries – What Does that Mean for the DOL’s Final Proxy Voting Rules? Proskauer Rose LLP
Apr
20
2022
SEC Charges 12 Additional Firms for Failure to Meet Form CRS Obligations Vedder Price
Apr
14
2023
Small Business Lenders: CFPB Issues Final Rule on Small Business Lending Greenberg Traurig, LLP
Oct
17
2015
The Consumer Finance Protection Bureau Takes Aim at Class Action Waivers in Arbitration Clauses Armstrong Teasdale
 

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