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
9
2024
Reminder for New York State Employers: Salary Basis Thresholds Increased for 2024 Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
9
2024
ASEAN and EU Finalise Implementation Guide for Cross-border Data Transfers Squire Patton Boggs (US) LLP
Feb
9
2024
Client Alert: New Reporting Requirements Under the Corporate Transparency Act Stubbs Alderton & Markiles, LLP
Feb
8
2024
Ransomware Hitting U.S. Companies at Increasing Rate Robinson & Cole LLP
Feb
8
2024
Trade Secret Wars Continue with Tech Companies Battling for Talent Proskauer Rose LLP
Feb
8
2024
Non-Financial Corporate Reporting for U.S. Companies – Where to Start? Proskauer Rose LLP
Feb
8
2024
Supreme Court Upholds Corporate Whistleblower Protections in Landmark Ruling Kohn, Kohn & Colapinto
Feb
8
2024
FinCEN Issues Beneficial Ownership Information “Access Rule” Cadwalader, Wickersham & Taft LLP
Feb
8
2024
ARE YOU A “HIGH RISK CUSTOMER”?: Why Recent FTC Consent Order Makes it Trickier Than Ever for Telemarketers To Find Carrier Partners Troutman Amin, LLP
Feb
8
2024
Can A False Claims Act Qui Tam Case, Alleging Customs Fraud, Be Filed And Pursued Anonymously? Tycko & Zavareei LLP
Feb
8
2024
SCOTUS CONFIRMS FCRA WAIVES SOVEREIGN IMMUNITY: So Yes, You Can Sue the Government For False Credit Reporting…but Not For Robocalls Troutman Amin, LLP
Feb
8
2024
Bling It On: Laches Prevents Profit Disgorgement in Diamond-Studded Trademark Battle McDermott Will & Emery
Feb
8
2024
FTC Imposes Largest Ever Penalty For Misleading ‘Made In USA’ Claims Barnes & Thornburg LLP
Feb
8
2024
Belgium – The Synergy Between Pension Contributions and the Severance Indemnity Squire Patton Boggs (US) LLP
Feb
7
2024
Can A Charter Amendment Fix Con Ed? Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
7
2024
SNAKE TRAP: Python Leads and Owners Jacquelyn and David Levin Facing Big Liability For Alleged Bad Leads Troutman Amin, LLP
Feb
7
2024
Recent Regulatory Actions Against TPAs in South Dakota Polsinelli PC
Feb
7
2024
FDA Announces Update to Fruit Pouch Contamination Investigation Keller and Heckman LLP
Feb
7
2024
What Every Multinational Company Should Know About … The False Claims Act Foley & Lardner LLP
Feb
7
2024
Employment Law This Week Episode 333 - California’s Non-Compete Notice Deadline Approaches, California Workplace Violence Regulations, Estrada Decision Keeps Door Open for PAGA Challenges [Video, Podcast] Epstein Becker & Green, P.C.
Feb
7
2024
Federal Agencies Face Looming Congressional Review Act Deadline Hunton Andrews Kurth
Feb
7
2024
Startup Advisors: When Should Startups Think About Branding? [Video] Foley & Lardner LLP
Feb
7
2024
Buying or Selling a Hospice? The 36-Month Rule Prohibiting Change of Ownership Now Applies Greenberg Traurig, LLP
Feb
7
2024
This Year Some Employees Will Be Receiving More Than a Valentine's Day Card Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
7
2024
Delaware Supreme Court Upholds Forfeiture-for-Competition Provision in Limited Partnership Agreement Jackson Lewis P.C.
Feb
7
2024
California Bill Would Exempt Certain Fast Food Restaurants From $20-per-Hour Minimum Wage Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Feb
6
2024
Strengthening National Security in Investments: Exploring the Implications of the Significant Investments Review Bill K&L Gates
Feb
6
2024
AI is Fueling a Major Contract Dispute in the Music Industry: Why it Matters for Your Business Polsinelli PC
 

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