Financial, Securities & Banking

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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
Custom text Organization
May
29
2020
Commodity Futures Trading Commission Issues New Guidance for Civil Monetary Penalties Pierce Atwood LLP
Jun
6
2024
Regulation Round Up May 2024 Proskauer Rose LLP
Apr
9
2015
A New Concern about Confidentiality Agreements: Whistleblower Protection and Anti-Retaliation Emphasized and Enforced by the SEC Stark & Stark
Mar
30
2016
Feeling Conflicted: Importance of Disclosing Potential Conflicts, Stockholder Vote and Business Judgment Rule Faegre Drinker
Jul
17
2017
Can I submit a tip to the SEC Whistleblower Office if I was involved in the fraud or misconduct?- Chapter 7 Zuckerman Law
Jan
20
2021
The SEC's Modernized Marketing Rule for Investment Advisers K&L Gates
Feb
26
2021
Senators Introduce Bill to Rescue CFTC Whistleblower Program Kohn, Kohn & Colapinto
Aug
29
2023
Second Circuit Holds That the Syndicated Term Loans in Kirschner Are Not Securities Proskauer Rose LLP
Mar
8
2024
IRS Releases Final Direct Pay Regulations Foley & Lardner LLP
Dec
16
2014
North Carolina Court of Appeals: Limitations Period Does Not Apply to Local Government Enforcement of Subdivision Performance Bonds Womble Bond Dickinson (US) LLP
Dec
2
2015
SEC Adopts Rules to Allow Crowdfunding Beginning May 16, 2016 Hunton Andrews Kurth
Jun
25
2023
Funds NOT Immediately Available: Actions FCMs Should Take to Protect Customer Funds Deposited at Distressed Banks Katten
Jan
11
2024
“Export Controls Are the New Sanctions” and Other Enforcement Trends for 2024 Bracewell LLP
Oct
7
2021
FOS Warns on Scam Complaints – Are Banks Doing Enough? Squire Patton Boggs (US) LLP
Jun
13
2022
California Approves Commercial Financing Disclosure Regulations Sheppard, Mullin, Richter & Hampton LLP
Mar
31
2017
New Report: Sustainable Investments Grow by 25 percent Worldwide from 2014-16 Womble Bond Dickinson (US) LLP
Aug
20
2018
Australian Treasury Releases Draft Bill on Consumer Data Right K&L Gates
Nov
1
2023
The SEC Publishes 2024 Examination Priorities Ahead of Schedule, Previewing Key Areas of Focus For Registered Entities K&L Gates
Apr
7
2022
March 2022 Crypto Enforcement Actions Roundup Sheppard, Mullin, Richter & Hampton LLP
Mar
23
2023
Cryptoasset Regulatory Update: HM Treasury Publishes Consultation Paper on the Future of the Financial Services Regulatory Regime for Cryptoassets K&L Gates
Dec
6
2016
CFTC Finalizes Aggregation of Positions Rule Cadwalader, Wickersham & Taft LLP
Apr
24
2018
Banks Cannot Skirt Contract Remedies in Data Breach Suit Against Retail Merchant Jackson Lewis P.C.
Aug
15
2019
New York Commercial Division Justices Provide Dueling Approaches to Discovery Stays in State Court Securities Litigation Sheppard, Mullin, Richter & Hampton LLP
Mar
7
2014
Congressional Budget Justification Faegre Drinker
Aug
10
2016
SEC Approves Nasdaq ‘Golden Leash’ Disclosure Rules Morgan, Lewis & Bockius LLP
Oct
30
2017
Does Your Plan Have Investment Managers? Can Those Managers Trade Derivatives? Here’s Why We Ask Morgan, Lewis & Bockius LLP
Nov
17
2020
SEC Releases Financial Report Confirming the Unprecedented Success of its Whistleblower Program Kohn, Kohn & Colapinto
Oct
28
2013
Agencies Issue Guidance on Troubled Debt Restructurings Katten
 

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