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
Nov
9
2016
Office of Comptroller of Currency Announces New Centralized Online System for Licensing and Public Welfare Investment Filings Covington & Burling LLP
Feb
15
2022
Proposed SEC Rule Would Expand Private Fund Compliance Obligations, Investor Protections Barnes & Thornburg LLP
Oct
8
2013
The Moench Presumption: An Examination of the Third Circuit’s Standard of Prudence in Employer Stock Cases and Its Subsequent Treatment by Circuit Courts McDermott Will & Emery
Mar
23
2015
SEC Charges Insiders for Failure to Update Schedule 13D Disclosures Katten
Apr
4
2019
FDIC Issues Guidance on Service Technology Service Provider Contracts Ballard Spahr LLP
Nov
22
2019
Legislation Introduced in Senate Seeks to Ban Non-Competes Epstein Becker & Green, P.C.
Mar
6
2020
ESMA Publishes Annual Transparency Calculations Katten
Feb
14
2022
SEC Proposes Amendments to 13D and 13G Beneficial Ownership Rules Nelson Mullins
Dec
3
2014
Marketing an International Law or CPA Firm Network (Post 2 of 3) Fishman Marketing, Inc.
Jul
27
2019
Delay of Final Implementation of Swap Initial Margin Rules Katten
Jan
19
2023
Iowa AG Usury Investigation into Bank Partnership Ends in Settlement Sheppard, Mullin, Richter & Hampton LLP
Jul
20
2016
FinCEN’s Beneficial Ownership FAQs Miss the Boat on Private Investment Vehicles Morgan, Lewis & Bockius LLP
Apr
6
2018
First Round of Robo-Advisor Fee Litigation Goes to Record-Keepers Proskauer Rose LLP
Mar
11
2021
SEC Exam Priorities for 2021: What You Need to Know Epstein Becker & Green, P.C.
Jul
12
2021
AAR Denies Parent-Subsidiary Capital Gains Exemption in Buyback, Upholds Taxability Under Section 46A Nishith Desai Associates
Nov
6
2023
(UK) HMRC and Restructuring Plans: The Next Chapter Squire Patton Boggs (US) LLP
Mar
9
2016
Shelf Registration Extended Offering Period: Ready for Municipal Marketplace? Foley & Lardner LLP
Jun
29
2017
Costs of Conflict Minerals Compliance (1 of 3) – Why lower than expected? Squire Patton Boggs (US) LLP
May
20
2020
Delaware Supreme Court Upholds Validity of Exclusive Federal Forum Provisions Faegre Drinker
Apr
14
2023
CFPB Director Elevates Priorities for Data Privacy & Repeat Offenders Sheppard, Mullin, Richter & Hampton LLP
Mar
11
2024
Private Market Talks: Navigating the Geopolitical Supercycle with Tina Fordham [Podcast] Proskauer Rose LLP
Mar
30
2012
Congress Passes the JOBS Act to Simplify Capital Formation Morgan, Lewis & Bockius LLP
Nov
6
2015
SEC Grants Exemptive Relief With Respect to the Large Trader Rule Katten
Nov
11
2016
Commodity Futures Trading Commission (CFTC) Approves Supplemental Proposal to Regulation AT Katten
Apr
14
2020
COVID-19 Payment Protection Program: Lender Guidelines Subject to Litigation Risks Pierce Atwood LLP
Feb
16
2022
Hughes v. Northwestern University: Lessons for Retirement Committees and Other Fiduciaries Mintz
Jul
15
2022
Whistleblower Newsletter Q2 2022 Foley & Lardner LLP
Jul
14
2015
SEC Requests Public Comment on the Listing, Trading and Selling of Exchange-Traded Products Vedder Price
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins