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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Jul 15 2015	Closing a Facility? Dig Deep to Avoid Contractual Issues
Jul 27 2015	Continued Focus on Dodd-Frank, Challenge to CFPB Moves Forward
Oct 5 2015	Not So Fast My Friend – UAW Membership Rejects Tentative Agreement
Aug 24 2023	SBA Size Standards: Affiliation Based on Franchise and License Agreements
Feb 22 2016	Financial Services Lawmakers Set Agenda for 2016 and Look for Solution to Puerto Rico’s Debt Crisis; CFPB, SEC, OFR All Hold Meetings
Feb 29 2016	Tax-Writers Debate International Tax Reform, Inversions; OECD Releases “Inclusive” BEPS Framework
Jun 24 2020	Supreme Court Recognizes, Limits SEC’s Disgorgement Power
Jul 6 2020	Looking Past the Face of the Shiny Penny: Check the Fine Print of All Private Company Investments
Oct 19 2021	October 19, 2021: Foley Weekly Automotive Report
May 9 2016	Senate Banking Focuses on China, Iran; CFPB Takes on Mandatory Arbitration Clauses as Administration Focuses on Financial Transparency
Jun 6 2016	Hensarling to Release Dodd-Frank Replacement as House to Vote on Puerto Rico Bill; CFPB, Federal Reserve Propose Long-Awaited Rulemakings
Feb 21 2018	Only Persons Who Report Security Violations to the SEC are Whistleblowers Under Dodd-Frank: Supreme Court Decides Digital Realty Trust Case
Sep 12 2020	When To Pull the Plug: Factors to Consider in Deciding Whether to End The Relationship with A Business Partner (Part 1)
Sep 25 2020	Achieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners
Oct 21 2020	Georgia Finalizes New Telemedicine Practice Rules
Feb 21 2020	Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI
Nov 16 2020	Dissolving the Stigma around Behavioral Health: Key Takeaways \| HLTH Matters GoLIVE Webinar Series [VIDEO]
Jun 6 2009	Amnesty By Any Other Name: Government Enforcement Drive Against Foreign Bank Account Holders Highlights Little Known IRS Voluntary Disclosure Policy
Mar 11 2022	FDA Publishes Proposed Rule on National Standards for The Licensure of Wholesale Drug Distributors and Third-Party Logistics Providers as Required by The Drug Supply Chain Security Act
May 30 2010	The Powers and Duties of a Chapter 7 Bankruptcy Trustee
Jun 14 2021	What to Do When a Departing Employee Downloads Information
Jul 2 2015	Ex-Im Bank is Closed for Business – At Least for Now
Apr 8 2022	SBA Updates Size Standards for Many Industries
Jul 13 2015	Fed, CFPB Heads to Testify; SEC, CFTC to Hold Meetings
Jul 20 2015	Whistleblower Program Development, Part I: “Top Advice for Dealing With a Whistleblower” [VIDEO]
Jun 23 2023	Business Size and DBE Certification- How Big Can You Grow?
Jun 15 2017	USCIS Seeks Input on Revised EB-5 Capital At Risk Requirement
Jul 15 2021	Renewed Warnings and New Legislation on Forced Labor in Global Supply Chains

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