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
Sep
8
2021
Recommendations and Key Points Regarding the New Outsourcing Reform in Mexico OLIVARES
Feb
10
2023
ECB Publishes Climate-Related Statistical Indicators to Promote Assessment and Measurement Cadwalader, Wickersham & Taft LLP
Jul
8
2015
¿Qué impacto tendrá el nuevo enfoque de la SEC en el capital privado de inversión inmobiliaria del sur de Florida? Bilzin Sumberg
Jul
7
2016
Is Certiorari Possibility For SLUSA Question Not Addressed By Any Federal Circuit Court? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
8
2017
Does Whistleblower Protection Extend To Disclosures To Your Mom Or The Press? Allen Matkins Leck Gamble Mallory & Natsis LLP
Aug
4
2022
POTUS Issues Executive Order Directing Study of Digital Assets Foley & Lardner LLP
Nov
2
2022
Crypto Showdown: SEC’s Lawsuit Against Ripple Labs Reaches Critical Juncture Greenberg Traurig, LLP
Sep
13
2023
UK Financial Promotion Rules for Cryptoassets: Longer Implementation Period for Certain Requirements Proskauer Rose LLP
Dec
3
2010
Wisconsin Act 255 Tax Credit Changes in 2011 Michael Best & Friedrich LLP
Sep
23
2013
Life Insurance is an Option for Dynasty Trusts Greenberg Traurig, LLP
Nov
20
2014
Bank of America Underwater Mortgage Cases Hit Supreme Court Bilzin Sumberg
Jul
31
2018
FTC Testifies Before House Committees Regarding Ongoing Focus on Payment Processors Ballard Spahr LLP
Jul
18
2019
SEC Staff Asks for Time: Feels Pressure From Automatic Filing Effectiveness Carlton Fields
Mar
20
2018
Ninth Circuit Court of Appeals Outlines BSA Compliance Obligations and How One Small Bank Failed to Meet Them Ballard Spahr LLP
Mar
26
2019
SEC Proposes Registration, Communications and Offering Reform for Closed-End Funds and Business Development Companies Faegre Drinker
Apr
10
2020
State Securities Compliance Relief in the Wake of COVID-19 Steptoe & Johnson PLLC
Jul
22
2021
The Portfolio Company Playbook: Chapter 4 – Navigating Direct Liability Risks to the Fund Proskauer Rose LLP
Jul
11
2023
Texas Two-Steps into the Childrens Privacy Dance: The Securing Children Online through Parental Empowerment Act Squire Patton Boggs (US) LLP
Jan
25
2024
Europe: Progress Update on Irish Funds Sector Review K&L Gates
Oct
11
2017
Federal Reserve Board Outlines Next Steps for Faster Payments K&L Gates
Nov
16
2018
ESMA Publishes Updated Supervisory Briefing on MiFID II Suitability Rules; ESMA Publishes Standards and Guidance for Securitization Repositories Under the Securitization Regulation Katten
Jul
15
2020
Attorney For Lender Did Not Owe Any Fiduciary Duties To Borrower As An Escrow Agent Winstead
May
16
2013
The Ninth Circuit Holds that Bankruptcy Courts Have Authority to Recharacterize Debt as Equity Sheppard, Mullin, Richter & Hampton LLP
Dec
28
2020
IRS and PBGC Provide Welcome Clarification on Contribution Deadline for Defined Benefit Pension Plans Faegre Drinker
Feb
13
2023
Proposed Legislation Would Authorize CFIUS to Scrutinize Farmland Purchases by Foreign Buyers ArentFox Schiff LLP
Nov
22
2023
Recent and Upcoming Immigration and Nationality Fee Increases in the United Kingdom Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Nov
24
2012
Uniform Fraudulent Transfer Act Does Not Override Common-Law Rule Subjecting Self-Settled Trusts To Creditors’ Claims ArentFox Schiff LLP
Aug
7
2014
Loan Market Association Publishes Documentation for Developing African Markets Greenberg Traurig, LLP
 

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