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

Custom text		Organization
Dec 5 2013	New Rule 506 C&DI’s Require Some Explaining Re: Compliance & Disclosure Interpretations	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 5 2013	New York’s Article 9 Non-Uniformity Re: Bankruptcy and Restructuring	Greenberg Traurig, LLP
Dec 5 2013	Qui Tam Update: Recent Developments & Unsealed Cases November 2013	Mintz
Dec 5 2013	European Parliament Passes Resolution on Gender Balance Among Non-executive Directors on Listed Company Boards	Greenberg Traurig, LLP
Dec 5 2013	SEC (Securities and Exchange Commission) Proposes Regulations Related to Crowdfunding (Part 1)	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 4 2013	Federal Communications Commission (FCC) Clarifies Rule Governing Foreign Ownership of Broadcast Stations	Mintz
Dec 4 2013	Seventh Circuit Finds Insurance Company’s Internal “Answer Man” Proper Classified as Exempt Administrative Employee	Jackson Lewis P.C.
Dec 4 2013	Fifth Circuit Issues Landmark DR Horton Decision	Barnes & Thornburg LLP
Dec 4 2013	Department of Business Oversight (DBO) to Licensees: “Thou Shalt Have A Dedicated Electronic Mailbox And Read Your Email Daily”	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 4 2013	SCOTUS Grants Certiorari in Case Which Acknowledged Confusion Over Timeliness Requirement for Filing a Copyright Infringement Claim	Odin, Feldman & Pittleman, P.C.
Dec 4 2013	The Case of Partners Who Aren’t Partners And Chicken Guts	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 3 2013	Michigan Advanced Energy Storage Company Moves to New Facility	Varnum LLP
Dec 2 2013	Kraft v. Cracker Barrel: A Summary of Judge Posner’s Opinion and an Alternative Reverse Confusion Theory of Liability	Sheppard, Mullin, Richter & Hampton LLP
Dec 2 2013	More On Asset Sales And The Attorney-Client Privilege	Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec 2 2013	Do Overseas Investors Need to be "Accredited"?	Greenberg Traurig, LLP
Dec 2 2013	Supreme Court to Decide Whether Sarbanes-Oxley (SOX) Protects Employees of Private Entities Contracting with Public Companies	Jackson Lewis P.C.
Nov 29 2013	On Small Business Saturday, Remember that Franchises ARE Small Businesses	Armstrong Teasdale
Nov 28 2013	Beshear Launches Kentucky Angel Investors Network	McBrayer, McGinnis, Leslie and Kirkland, PLLC
Nov 27 2013	China to Relax the Corporate Registered Capital System and Reform the Annual Inspection Process	Sheppard, Mullin, Richter & Hampton LLP
Nov 27 2013	When It Comes To Proxy Statements, The U.S. District Courts May Not Be So Exclusive After All	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 27 2013	Bitcoin: Current US Regulatory Developments	Katten
Nov 26 2013	Does Failure To Qualify Deprive A Foreign LLC Of Standing Under The SSFMJA (Sister State and Foreign Money—Judgments Act)?	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 26 2013	New Restrictions on Dispatched Worker Model Chinese Labor Law in Reform	Armstrong Teasdale
Nov 25 2013	The Reemergence of Branded Residential Realty	Greenberg Traurig, LLP
Nov 25 2013	California Foreign Corporations: “It’s Like Déjà Vu All Over Again.”	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 23 2013	Failure To Name Primary Violator Doesn’t Doom Class Action Against Secondary Actors	Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov 23 2013	Commodity Futures Trading Commission (CFTC) Announces Weekly Swaps Report	Katten
Nov 22 2013	Chicago Mercantile Exchange Issues Advisory Notice on Wash Trades	Katten

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