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.

National Law Review Financial Regulation and Banking Law TwitterFor 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

Title
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Mar
28
2024
Compulsory Corporate Monitorships: Strategies for Success ArentFox Schiff LLP
Mar
28
2024
Corporate Transparency Act Update Jones Walker LLP
Mar
28
2024
IRS and Treasury Department Issue Final and Proposed Regulations Regarding ‘Direct Pay’ Rules Under Inflation Reduction Act and Code Section 6417, Notice Regarding ‘Chaining’ and Revised FAQs Greenberg Traurig, LLP
Mar
28
2024
Can A Member Bring a Derivative Action on Behalf of a California Nonprofit Corporation? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
28
2024
A Guide for CFTC Whistleblowers Oberheiden P.C.
Mar
28
2024
March 2024 ESG Policy Update—Australia K&L Gates
Mar
27
2024
Summary of the Biden Administration’s Fiscal Year 2025 Green Book Tax Proposals Proskauer Rose LLP
Mar
27
2024
Supply Chain Transparency – Are You Ready? Foley & Lardner LLP
Mar
27
2024
Trademark Primer: Proactive Strategies for Avoiding Disputes and Consumer Confusion Foley & Lardner LLP
Mar
27
2024
Beyond Whistleblowing: Additional Highlights from the Department of Justice at the 2024 ABA White Collar Conference Bracewell LLP
Mar
27
2024
Vice Chancellor Laster Proposes Recusal, But Is He Correct? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
26
2024
Lesson Learned: Man Charged with Insider Trading After Misappropriating Information from Wife’s Work-From-Home Calls Sheppard, Mullin, Richter & Hampton LLP
Mar
26
2024
IRS Hints at Revolution in Tax-Free Spin-Off Rules, Ruling Practice Cadwalader, Wickersham & Taft LLP
Mar
26
2024
Balancing Uncle Sam’s Checkbook: Biden’s Tax Proposals Cadwalader, Wickersham & Taft LLP
Mar
26
2024
NY Gov Signs Amended LLC Transparency Act Greenberg Traurig, LLP
Mar
26
2024
Promoting Human Rights and Environmental Sustainability: Integrating Ethics into the Supply Chain Foley & Lardner LLP
Mar
26
2024
Weekly Bankruptcy Alert March 26, 2024 (For the week ending March 24, 2024) Pierce Atwood LLP
Mar
26
2024
Can A Derivative Suit Survive Conversion? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
26
2024
Whistleblower Awards for Auditors are Key to Meeting OECD Guidelines Kohn, Kohn & Colapinto
Mar
25
2024
FTC Announces Revised Hart-Scott-Rodino Thresholds for 2024 Much Shelist, P.C.
Mar
25
2024
Time to Sell? Are You and Your Company Prepared to Go After the Elusive Pot of Gold? Bradley Arant Boult Cummings LLP
Mar
25
2024
Organizational Integrity Shorts: Don’t Just Let the Dominoes Fall; Understand the Paths They Might Take Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2024
Environmental, Social, and Governance (ESG) Standards — A Conversation with the Honorable Leo E. Strine, Jr. [Podcast] Bergeson & Campbell, P.C.
Mar
25
2024
Increasing Antitrust and Potentially Other Scrutiny for Defense M&A Deals Bracewell LLP
Mar
25
2024
Hospitality Alert: Quick Facts on the Corporate Transparency Act Sheppard, Mullin, Richter & Hampton LLP
Mar
25
2024
California Legislator Proposes to Enhance Criminal Fines for California, but Not Delaware, Business Entities Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
24
2024
UK ICO Publishes New Guidance on Fines Hunton Andrews Kurth
Mar
22
2024
EPA Issues Enforcement Alert Targeting BWON and QQQ Noncompliance at Refineries and Chemical Manufacturers Beveridge & Diamond PC
 

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