Financial Institutions & Banking

The Financial institutions and banking sectors are highly regulated in the US and throughout the world. The National Law Review addresses legal issues, compliance concerns, financial regulatory schemes, broker-deals, insolvency and restructuring, and structured transaction negotiations. Both in the national and international realm, financial institutions are highly relied upon for financing, loans, and business deals. Because of this, the Federal Trade Commission, and agencies like the Federal Financial Institutions Examination Council (FFIEC) highly regulate the industry, and transactions that unfold on a daily basis.

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 highly covered on the site.

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.

International banking and financial institutions news is also covered in 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.

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.

Custom text Title Organization
May
18
2013
 SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Katten
Nov
4
2016
 CFTC Market Risk Advisory Committee To Hold Meeting Katten
Feb
19
2019
 Bridging the Weeks by Gary DeWaal: February 4 – February 15 and February 19, 2019 (Cryptosecurities, Cryptocurrencies, Examination Priorities Redux) [Video] Katten
Mar
18
2021
 CFPB Rescinds Short-Lived Guidance on Abusiveness Standard Katten
Jun
2
2013
 SEC Order Against Institutional Shareholder Services Inc. (ISS) Katten
Apr
2
2021
 ESAs Opinion on Jurisdictional Scope of the Securitisation Regulation Katten
Mar
8
2019
 NFA Proposes Amendments to Bylaw 301, Compliance Rule 2-24 and Related Interpretive Notice Katten
Apr
9
2021
 SEC Corp Fin Staff Issues Statement on SPAC Transactions Katten
Mar
15
2019
 PRA and FCA Hosted the First Meeting of the Climate Financial Risk Forum Katten
Apr
16
2021
 FINRA Publishes Answer to Frequently Asked Questions Under Rule 4521(d) on Margin Balance Reporting Katten
Mar
22
2019
 ESMA Delays Publication of Annual Calculations of LIS and SSTI Thresholds for 2019/20 Bonds Katten
Apr
23
2021
 UK Announces New Central Bank Digital Currency Taskforce Katten
Jan
6
2017
 NFA Updates the Forex Regulatory Guide Katten
May
7
2021
 FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements and Diversity and Inclusion Initiatives Katten
Aug
11
2013
 Financial Industry Regulatory Authority (FINRA) Issues FAQs Regarding Trade Reporting and Compliance Engine (TRACE) Reporting Katten
Aug
17
2013
 SEC Order Temporarily Exempting Certain Broker Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13H-1 Katten
Apr
15
2019
 Bridging the Week by Gary DeWaal: April 8 – 12 and April 15, 2019 (Not In An Empire State Of Mind; Mistrial For Programmer) [VIDEO] Katten
Jan
27
2017
 CFTC Extends Public Comment Period for Regulation AT Supplemental Proposal Katten
Apr
22
2019
 Bridging the Week by Gary DeWaal: April 15 – 19 and April 22, 2019 (Privacy Requirements No Secret; Not Quite the "Thrilla in Manila") Katten
Sep
22
2013
 Second Circuit Affirms Judgment that Securities Litigation Uniform Standards Act (SLUSA) Precludes Madoff-Related Claims Katten
Apr
29
2019
 Bridging the Week by Gary DeWaal: April 22 – 26 and April 29, 2019 (Stablecoin Not Stable?; No More Criminal Prosecution; Foreign Corrupt Practices) [VIDEO] Katten
Feb
11
2017
 UK Financial Conduct Authority Publishes Discussion Paper on Illiquid Investments and Open-Ended Funds Katten
May
3
2019
 CFTC’s Division of Clearing and Risk and Office of the Chief Economist Issue Clearinghouse Supervisory Stress Test Report Katten
Oct
13
2013
 Office of the Comptroller of the Currency (OCC) Updates Bank Accounting Advisory Series Katten
Oct
18
2013
 SEC Chair Speaks on Public Company Disclosure Katten
Feb
26
2017
 European Supervisory Authorities Publish Statement On Variation Margin Exchange Katten
May
31
2023
 NY Attorney General Proposes to Increase Obligations on Crypto Businesses Operating in NY or with NY Residents Katten
Nov
2
2013
 Commodity Futures Trading Commission (CFTC) Adopts Enhanced Customer Protection Rules Katten
Mar
13
2017
 Layering, Cross-Market Manipulation, Retaliatory Firing and Non-Cooperation - Bridging the Week: March 6 - 10, March 13, 2017 [VIDEO] Katten
Jun
12
2023
 Bank/Fin-Tech Agreements: Re-Assessment Required Given New Regulatory Guidance on Third-Party Servicing Agreements Katten
Apr
1
2017
 Investment Association Consults on New Code for Charges and Transaction Costs Disclosure Katten
Jun
14
2019
 NFA Amends Swaps Supervision Requirements and Makes Technical Changes to NFA Rules and Interpretive Notices Katten
Apr
9
2017
 MiFID II Delegated Acts Published in the Official Journal Katten
Jun
21
2019
 NFA Issues Notice of Annual Surcharge to Certain Member Firms Katten
Jun
29
2019
 SEC Adopts Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Participants Katten
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