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.

For 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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Aug 7 2015	FINRA Proposes Rule Governing Personal Securities Transactions of Associated Persons	Katten
Oct 12 2018	HM Treasury Publishes Draft Brexit Statutory Instruments for Investment Funds and Their Managers; HM Treasury Publishes Draft Brexit Statutory Instruments Relating to MiFID II and Trade Repositories	Katten
Aug 14 2015	Federal Reserve Issues Clarification of Debit Card Interchange Rule in Response to Court Action	Katten
Jun 13 2014	Trading Evidence Barred From Rengan Rajaratnam Trial Re: Insider Trading	Katten
Aug 21 2015	CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and Requests Public Comment on a Petition by Korea Exchange, Inc. for Exemption From DCO Registration	Katten
Aug 28 2015	CPMI and IOSCO Publish Joint Consultative Report on the Global Harmonization of OTC UTI	Katten
Dec 4 2020	Nasdaq Seeks SEC Approval of Board Diversity Rule	Katten
Jun 28 2014	NFA (National Futures Association) Proposes Interpretive Notice Prohibiting the Use of Credit Cards to Fund Retail Forex or Futures Trading Accounts	Katten
Sep 4 2015	EMIR: European System of Central Banks Reports on CCPs Access to Central Bank Liquidity Facilities	Katten
Apr 16 2020	Revising Initial Expectations: CFTC Proposes Substantial Amendments to Form CPO-PQR and Related Requirements	Katten
Jul 7 2023	FCA Publishes Guidance on the UK’s Trading Venue Perimeter	Katten
Apr 17 2020	FINRA Amends Arbitration Code to Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive	Katten
Jul 11 2014	SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation	Katten
Dec 12 2020	SEC Announces Stand-Alone Office Focused on Innovation and Financial Technology & Rules to Modernize Infrastructure for NMS Market Data	Katten
Jul 20 2014	District Court Clarifies Statute of Repose Timeline in Material Misstatement Case	Katten
Sep 24 2015	SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor Alert on Data Theft	Katten
Apr 24 2020	CFTC Grants Bitnomial Exchange, LLC Status as a Designated Contract Market	Katten
Apr 24 2020	FCA Webpage on Financial Advisers’ Professional Indemnity Insurance	Katten
Oct 2 2015	FINRA Files Proposed Rule Change to Amend Margin Requirements for the TBA Market	Katten
Dec 16 2018	European Commission Reported to Grant Temporary Access to UK Clearing Houses	Katten
Jul 14 2017	SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements	Katten
Aug 8 2014	SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley	Katten
Dec 21 2018	SEC Proposes Risk Mitigation Rules for Uncleared Security-Based Swaps	Katten
Apr 30 2020	IR35: Key Concerns Ahead of 6 April 2021	Katten
Aug 22 2014	Texas Court of Appeals Decertifies Class of Brigham Shareholders	Katten
Oct 26 2015	Bridging the Week: October 19 to 23 and 26, 2015 (Automated Trading Controls; Too Much Regulation; Spoofing; Evasion; Customer Funds Investments)	Katten
May 6 2020	Capital Raising During the COVID-19 Pandemic: Offering Structures for a Volatile Market	Katten
Oct 30 2015	CFTC Exempts a Japanese Clearing Organization and Korean Exchange From Derivatives Clearing Organization Registration	Katten

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