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
Jul
8
2019
 Commissioner Peirce Has Concerns About California's Gender Quota Mandate Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
8
2019
 Senior Compliance Officer and Trader Imprisoned for Insider Dealing Following FCA investigation Squire Patton Boggs (US) LLP
Jul
8
2019
 New York Department of Financial Services Opens Investigation into Facebook Advertisers Ballard Spahr LLP
Jul
8
2019
 California bill capping consumer loan interest rates moves closer to enactment Ballard Spahr LLP
Jul
5
2019
 The Bubbler - July 2019 Mintz
Jul
3
2019
 Investment Services Regulatory Update - June 2019 Vedder Price
Jul
2
2019
 National Futures Association Proposes Overhaul of its Member Requirements for the Supervision of Branch Offices and Guaranteed Introducing Brokers Katten
Jul
2
2019
 This week’s Podcast: A close Look at Utah’s New Regulatory Sandbox Program [Podcast] Ballard Spahr LLP
Jul
2
2019
 New plaintiffs join lawsuit against CFPB for delaying Section 1071 implementation Ballard Spahr LLP
Jul
2
2019
 Revised EIN Application Process Requires Individuals to Serve as the “Responsible Party” Sheppard, Mullin, Richter & Hampton LLP
Jul
1
2019
 Petition Filed with FTC Seeking Investigation of Use of “Secret Surveillance Scoring” Ballard Spahr LLP
Jul
1
2019
 Bridging by Gary DeWaal: June 24 – 28, and July 1, 2019 (Wash Sales; Another Spoofing Settlement) [VIDEO] Katten
Jul
1
2019
 Wayfair Workers Stage Walkout Over Border Facility Sales Risk and Insurance Management Society, Inc. (RIMS)
Jul
1
2019
 Seila Law Asks U.S. Supreme Court to Review Ninth Circuit Ruling that CFPB’s structure is Constitutional Ballard Spahr LLP
Jul
1
2019
 Commission Interpretation – Standard of Conduct for Investment Advisers Cadwalader, Wickersham & Taft LLP
Jul
1
2019
 Letter Sent to Lawmakers Urging Congress to Pass Legislation Creating a Legal Framework for Income Share Agreements Ballard Spahr LLP
Jun
29
2019
 SEC Adopts Capital, Margin and Segregation Requirements for Security-Based Swap Dealers and Major Participants Katten
Jun
29
2019
 FINRA Files Proposed Rule Change to Public Communications and Research Reports Katten
Jun
29
2019
 As Bitcoin’s Price Moves Dramatically, ETF Proposals Remain at a Standstill Proskauer Rose LLP
Jun
28
2019
 CFTC Approves LedgerX LLC as Designated Contract Market Katten
Jun
28
2019
 CFPB Provides Highlights of First Six Months Under Director Kraninger's Leadership Ballard Spahr LLP
Jun
28
2019
 ESMA Publishes Updated l Transparency Calculations for Equity and Equity-like Instruments Katten
Jun
28
2019
 Vermont Supplements Recent Legislation Ballard Spahr LLP
Jun
28
2019
 CFTC Publishes Request for Comment on Proposed Rule Change to Cross-Border Regulatory Commitments Katten
Jun
28
2019
 CFTC Staff Issues No-Action Relief for Floor Traders Engaged in Swaps Activity Katten
Jun
28
2019
 SEC Adopts New Standard Of Conduct For Broker-Dealers And New Guidance On Investment Advisers' Duties Barnes & Thornburg LLP
Jun
28
2019
 The OAIC Engages in More In-Depth Investigations and Stronger Exercise of its Power K&L Gates
Jun
27
2019
 Inside The Beltway: Housing Reform In 2019? Ballard Spahr LLP
Jun
27
2019
 Briefing: QOZ Update: IRS Provides Relief for Early Investments of Net Section 1231 Gain Ballard Spahr LLP
Jun
27
2019
 DACA Recipients Are Ineligible For FHA Mortgage Insurance Officially, But Lending To DACA Recipients And Other Immigrant Communities Is Subject To Many Unresolved Compliance Challenges K&L Gates
Jun
27
2019
 Maine Enacts Student Loan Servicing Law Ballard Spahr LLP
Jun
27
2019
 Proposed AML Reforms Aim to Enhance and Modernize AML/CFT Enforcement Ballard Spahr LLP
Jun
27
2019
 FDIC and CFPB to Co-host Webinar on Elder Financial Abuse Ballard Spahr LLP
Jun
27
2019
 CFPB Files Amicus Brief in Support of Plaintiff in Fourth Circuit FDCPA case Ballard Spahr LLP
Jun
27
2019
 How the CFPB’s Proposed Debt Collection Rules Would Impact Creditors and First Party Collections [Podcast] Ballard Spahr LLP
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