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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Feb 28 2024	FACING THE CONSEQUENCES: Court Recommends Denial of Motion to Set Aside Default Judgment and to Award Northeastern Power & Gas $106,591.58!	Troutman Amin, LLP
Mar 11 2024	New TSR Recordkeeping Requirements Are Here!	Troutman Amin, LLP
Sep 17 2021	Quite the TCPA Trio: Three New ATDS Cases May Have Just Titled the TCPAWorld in Favor of Text Usage—Once and For All [PODCAST]	Troutman Amin, LLP
Oct 25 2023	“What’s In Your Wallet?” Court’s Use Capital One to Expand TCPA Class Standing!	Troutman Amin, LLP
May 19 2021	HUNSTEIN UPDATE: Court in Illinois Cites Hunstein with Approval While Distinguishing It	Troutman Amin, LLP
Jun 24 2021	Shelling it Out– New Ruling Shows CIPA Cases Can Be Even More Dangerous than TCPA	Troutman Amin, LLP
Jun 29 2021	Gager Strikes Again: Defendant Survives Plaintiff’s MSJ Effort–But Court Finds Contractual Consent Revocable	Troutman Amin, LLP
May 8 2020	HUGE NEWS: Regulation Banning Debt Collection Calls During COVID Struck Down as Unconstitutional– How Does that Play SCOTUS TCPA Review?	Troutman Amin, LLP
Sep 24 2021	TCPA QUICK HITTER: No Discovery, No Judgment–TCPA Defendant Stuck in Case After it Failed to Ask for Critical Evidence	Troutman Amin, LLP
Jun 9 2020	TCPA Personal Liability Rule Narrowed?: Seventh Circuit Holds Mere Knowledge of Illegal Conduct is not Enough to Hold an Officer Personally Liable for TCPA Violation	Troutman Amin, LLP
Jan 10 2022	HELPFUL CHANGE: FCC issues Guidance Clarifying “No Data” Reports from Reassigned Number Database	Troutman Amin, LLP
May 21 2021	Throwing Shade? Latest Court to Cite Hunstein Ends up Quietly Torching its Article III Standing Analysis	Troutman Amin, LLP
Oct 28 2020	SERGEI LEMBERG ON UNPRECEDENTED NOW AVAILABLE!: Click Here for The HUGE TCPA Podcast Interview with Duguid Lead Counsel on ATDS Appeal [Podcast]	Troutman Amin, LLP
Apr 2 2024	Trigger Leads: Has the Train Left the Station Already?	Troutman Amin, LLP
Apr 3 2024	FASHIONABLE LAWSUITS: Hugo Boss and Chicme Latest Targets of TCPA Class Actions	Troutman Amin, LLP
Oct 4 2021	Switching Sides?: Large Defense Firm Aides Plaintiff’s Lawyers to Net Biggest TCPA Settlement in History	Troutman Amin, LLP
Sep 28 2022	WEIGHT IN GOLD: Great New TCPA Discovery Ruling Properly Limits Overly Broad 30(b)(6) Notice in Colonial Penn TCPA Case	Troutman Amin, LLP
Jul 22 2020	$100 a Day in Sanctions: Shelton Is Simply Crushing a TCPA Defendant and I Just Can’t Watch Anymore	Troutman Amin, LLP
Oct 17 2019	Revolution Brewing?: California District Court Dismisses TCPA Claim for Lack of ATDS Allegations—Cites Statutory Definition and Not Marks for ATDS Standard	Troutman Amin, LLP
Jan 20 2022	WEBSITE LAYOUT PASSES MUSTER: Court Enforces Cruise Line’s TCPA and Arbitration Disclosures Over Objection	Troutman Amin, LLP
Sep 28 2020	“Pure Applesauce”: Court Chastises TCPA Defendant for “Silly” Disputes Regarding Deposition of Plaintiff’s Expert Aaron Woolfson	Troutman Amin, LLP
Jun 1 2021	Facebook Update: Barnett is a TCPA Big Win–but let’s Take it Slow Folks	Troutman Amin, LLP
Apr 3 2024	COURT PREVENTS TCPA BAIT AND SWITCH: Forbids Abante Rooter from Switching Class Representatives to Fred Heidarpour.	Troutman Amin, LLP
Jun 4 2021	TCPA Class Counsel Loses Millions: $60MM+ Class Recovery Looks to be Down the Tubes as Eleventh Circuit Finds No Insurance Coverage For TCPA Suit	Troutman Amin, LLP
May 14 2024	$35MM GODADDY TCPA SETTLEMENT EXPLODES (PART 1): Appellate Court Finds Probable “Collusion” Between Class Counsel and GoDaddy Lawyers in TCPA Class Settlement–Deems Class Counsel “Inadequate” To Represent the Class	Troutman Amin, LLP
Jul 20 2021	Florida and Facebook’s FN7– The Hidden Connection Between the Two Most Important ATDS Formulations Out There–and Why Human Number Selection is Suddenly Critically Important	Troutman Amin, LLP
Aug 5 2021	BLOWN UP: Consumers Sue Credit Card Company Over 600 Robocalls– End Up Having to Pay Robocaller $250k In Fees	Troutman Amin, LLP
Aug 22 2023	CFPB To Push Forward with Purposed Rulemaking for Data Brokers	Troutman Amin, LLP

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