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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Oct 30 2019	Uniform Commercial Code Protections Affecting Vendor Claims: Purchase Money Security Interests and Reclamation
Apr 27 2015	Lawmakers To Focus On Oversight Of And Regulatory Burdens On The Financial Services Industry
Oct 1 2020	COVID-19 May Have Delayed Autonomous Technologies, but the Future Still Looks Bright
May 7 2015	UDAAP Council Weekly UDAAP Standards Report -5/6/2015
May 11 2015	New IRS Rulings Should Provide Greater Certainty for Corporate Restructurings
May 31 2009	Reminder to Retailers and Restaurant Owners: Truncate Credit Card Numbers and Eliminate Expiration Dates to Avoid FACTA Litigation
Jul 27 2015	Continued Focus on Dodd-Frank, Challenge to CFPB Moves Forward
Apr 3 2020	The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline
Jun 20 2023	Weekly IRS Roundup June 12 – June 16, 2023
Oct 5 2015	Not So Fast My Friend – UAW Membership Rejects Tentative Agreement
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
May 9 2016	Senate Banking Focuses on China, Iran; CFPB Takes on Mandatory Arbitration Clauses as Administration Focuses on Financial Transparency
Jun 18 2019	SEC Adopts New Broker-Dealer Rule, Also Affecting Investment Advisers
Aug 10 2020	The Plight of Oppressed Private Company Minority Investors: No Legal Escape Available Without a Buy-Sell Agreement in Place
Sep 12 2016	Hensarling Chooses CHOICE; CFTC Moves Forward with Priorities as Nominees Pending Confirmation, Administration Outlines Approach to Correspondent Banking
Oct 5 2020	Don’t Wait to Jump Off the Bandwagon: Cutting Ties With a Bad Business Partner (Part 2)
Feb 14 2023	Wisconsin Resident Producers Required to Submit Annual Cybersecurity Certification By March 1, 2023
Jun 8 2015	Democrats Push New Regulatory Relief Measure, CFTC and EU Regulators Work to Agree on Clearinghouse Rules
May 31 2018	The Basel Committee and IOSCO Issue Criteria to Identify “Simple, Transparent and Comparable” Short-Term Securitisations
Oct 27 2020	Under Texas Law, You Can Have Your Cake, But Not Always Eat it Too: Choice of Forum Clauses Are Enforceable, Choice of Venue Has Limits
Jun 1 2009	Retailers Beware: FACTA Spurs a Wave of Class Action Filings
Jul 13 2015	Fed, CFPB Heads to Testify; SEC, CFTC to Hold Meetings
Jun 15 2017	USCIS Seeks Input on Revised EB-5 Capital At Risk Requirement
Jul 20 2023	SBA Size Standards: Affiliation Considerations Arising under Stock Options, Convertible Securities, and Agreements to Merge
May 5 2022	SEC Bolsters Crypto-Regulatory Team
Feb 1 2016	Tax-Writers Ponder Path Forward for 2016; U.S., EU Move Forward with BEPS Implementation
Oct 14 2021	Texas Executive Order to Prohibit COVID-19 Vaccine Mandate

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