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
18
2018
Jury, Not Judge, Must Decide Meaning of Representations Bilzin Sumberg
Oct
16
2019
Proposed Regulations Under the California Consumer Privacy Act K&L Gates
Jun
25
2020
Not So Fast…UK Court of Appeal Denies NCA a Shot at Redemption Following First UWO Defeat Greenberg Traurig, LLP
Sep
26
2022
SEC and CFTC Propose Amendments to Form PF for Private Fund Reporting Vedder Price
Dec
21
2022
Federal Reserve Issues Final Rule Implementing LIBOR Act Cadwalader, Wickersham & Taft LLP
Feb
2
2015
PPS Data Asserts Exclusive Rights To Remote Deposit System For Banks Womble Bond Dickinson (US) LLP
Jun
29
2021
Landmark Ruling in TransUnion v. Ramirez: For Damages Suits, “Risk of Future Harm” is No Longer Concrete Harm to Support Article III Standing in Federal Court Polsinelli PC
Jun
18
2022
NFT Insider Trading – Can There Be A Crime If It’s Not A Security? Sheppard, Mullin, Richter & Hampton LLP
Oct
25
2011
Grappling with Governance Risk and Insurance Management Society, Inc. (RIMS)
Feb
25
2024
An Update on the SEC’s Cybersecurity Reporting Rules Hunton Andrews Kurth
Dec
26
2023
Tax and Estate Planning Opportunities to Consider Now K&L Gates
Apr
7
2013
Federal Deposit Insurance Corporation (FDIC) Announces Availability of Educational Videos Katten
Mar
1
2019
European Parliament and Council of the European Union Reach Agreement on Investment Firms Regulation and Directive Katten
Mar
30
2023
The Community Bank Within the ESG Environment — Part 2 Jones Walker LLP
Jun
12
2015
Failure To Disclose Finder’s Fee Found Not To Be Actionable Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
6
2017
President Takes Action on Dodd-Frank and the DOL Fiduciary Duty Rule Morgan, Lewis & Bockius LLP
Sep
11
2017
What happens after I submit a tip to the SEC Whistleblower Office? - Chapter 15 Zuckerman Law
Jun
27
2018
Regulation Best Interest: The SEC’s Responds To The DOL’s Fiduciary Rule Sheppard, Mullin, Richter & Hampton LLP
Oct
22
2018
SEC Issues $1 Million Identity Theft Rule Fine Sheppard, Mullin, Richter & Hampton LLP
Sep
28
2022
Amendment to Subchapter V of Chapter 11 Clarifies Affiliates' Eligibility for Streamlined Restructuring Process ArentFox Schiff LLP
Dec
22
2022
Custodia Bank Is, Once Again, Asking for a Federal Reserve Master Account Proskauer Rose LLP
Feb
4
2015
Huge Settlements Between Standard and Poor’s (S&P), Government re: Pre-crisis Ratings of MBS and CDOs Bilzin Sumberg
May
5
2020
COVID-19: NASDAQ Proposal to Provide a Temporary Exception from Shareholder Approval Requirements ArentFox Schiff LLP
Oct
30
2011
Federal Regulators Request Comments on Proposal to Implement Volcker Rule Greenberg Traurig, LLP
Dec
30
2013
The End Is In Sight? Deutsche Bank Claims Victory In Defense Of A Repurchase Claim Based Upon Statute Of Limitations Sheppard, Mullin, Richter & Hampton LLP
Sep
25
2015
Delaware Court Of Chancery’s Not So Exclusive Jurisdiction Allen Matkins Leck Gamble Mallory & Natsis LLP
Feb
28
2010
Navigating the Distressed M&A Market: A Primer for Middle-Market Businesses Much Shelist, P.C.
Aug
15
2013
SEC Staff Examination Priorities – Are There Changes Ahead for Unregistered Retirement Plan Recordkeepers Faegre Drinker
 

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