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
Oct
13
2023
FTC Proposes New Rule Targeting “Junk Fees” Keller and Heckman LLP
Mar
8
2016
SEC Settles Charges against Wealth Management Businesses for Failing to Disclose Conflicts of Interest Arising from Preferences for Proprietary Funds. Vedder Price
Nov
15
2019
ESMA Publishes Technical Advice for Third-Country CCPs Katten
Apr
1
2022
SEC Proposes New Rules for SPACs: What will the future hold for SPACs? Foley & Lardner LLP
Dec
12
2012
More Legal Maneuvering Over the Scope and Applicability of Michigan's "One Action" Rule Governing Mortgage Foreclosures By Advertisement Barnes & Thornburg LLP
Apr
5
2019
ESMA Publishes Updates Q&As on MAR Katten
Jul
22
2019
Democratic lawmakers press Kraninger and DeVos for new CFPB/ED MOU Ballard Spahr LLP
May
19
2020
Business Unusual For Financial Services Firms – Returning to New Variations of "the Workplace" Katten
Nov
4
2020
FINALLY! CFPB Issues Groundbreaking Final Rule Implementing the FDCPA Squire Patton Boggs (US) LLP
Sep
16
2022
New York Publishes Proposed Rules on Commercial Financing Disclosures Sheppard, Mullin, Richter & Hampton LLP
Mar
20
2015
CFTC Issues an Exemption to HKSFC Permitting US Customers to Deal Directly with Hong Kong Brokers Katten
Mar
13
2017
Layering, Cross-Market Manipulation, Retaliatory Firing and Non-Cooperation - Bridging the Week: March 6 - 10, March 13, 2017 [VIDEO] Katten
Dec
3
2018
Securitisation Regulation - Transparency and Article 14 CRR Issues: Where Do We Go From Here? Cadwalader, Wickersham & Taft LLP
Jun
10
2022
SEBI Settlement Order - Research Analysts Not to Provide Model Portfolio Products Nishith Desai Associates
Mar
16
2023
Navigating the Business Landscape After Silicon Valley Bank and Signature Bank Nelson Mullins
Aug
8
2023
SEC Adopts Final Rules for Cybersecurity Disclosures K&L Gates
Mar
18
2012
Section 162(m): Actions That Generally Should be Taken by March 31, 2012, and/or in This Year’s Proxy to Avoid the $1,000,000 Deduction Limitation Greenberg Traurig, LLP
Nov
15
2016
UK Consumer Price Inflation: Confusion Reigns on CPI? Squire Patton Boggs (US) LLP
Aug
7
2018
RD Legal Funding files letter on jurisdictional issues Ballard Spahr LLP
Apr
13
2020
SEC Guidance: Public Statements of Municipal Issuers Subject to Antifraud Provisions Dinsmore & Shohl LLP
Dec
10
2022
Fund Finance Credit Availability Still Locked In Cadwalader, Wickersham & Taft LLP
Dec
19
2023
Senators Consider Reforms to Antitrust Law to Address Algorithmic Price-Fixing and Self-Preferencing — AI: The Washington Report Mintz
Apr
24
2014
SEC (Securities and Exchange Commission) “Fearful” of Wall Street Banks Bilzin Sumberg
Jul
21
2016
Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds Vedder Price
Mar
26
2018
CFPB Loses Motion For Reconsideration In Borders Case: Its Next Steps May Provide Insight Into The Mulvaney Enforcement Strategy Foley & Lardner LLP
Oct
5
2021
OFAC Issues New General Licenses Authorizing Limited Work with Taliban Wiggin and Dana LLP
Oct
17
2023
California Bans Hidden Fees, Effective July 1, 2024 Greenberg Traurig, LLP
Feb
15
2024
Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability Katten
 

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