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
Oct
15
2020
DOL Proposes New Rule on Proxy Voting Duties – Potential Implications for Investment Managers and Other ERISA Fiduciaries K&L Gates
Apr
26
2022
The EBA Publish Final Draft RTS Relating to Risk Retention Under the EU Securitisation Regulation Cadwalader, Wickersham & Taft LLP
Sep
1
2023
Blocking, Rejecting, and Reporting: 3 Keys to OFAC Compliance for Financial Institutions Oberheiden P.C.
Jan
26
2016
Insider Trading Cartoon Series, Vol. V — Misappropriation Theory [VIDEO] Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
May
23
2016
Tax-Writers Press on with Tax Reform Proposals; Treasury to Have “Intense” Comment Period on Section 385 Regulations
Feb
1
2017
Federal Reserve Board Issues Final Rule Amending Capital Plan and CCAR Stress Test Rules Covington & Burling LLP
Dec
7
2017
Treasury Updates AML Advisory Womble Bond Dickinson (US) LLP
Mar
31
2020
Climate Change Disclosures for Premium-Listed Companies on the London Stock Exchange Bracewell LLP
Aug
19
2020
Interactive Brokers LLC Submits to SEC, FINRA, and CFTC Penalties Totalling $38 Over Widespread AML Failures Mintz
Dec
7
2020
Price Gouging Weekly Round Up December 7 Proskauer Rose LLP
Oct
17
2011
US Labor Department seeks to recover more than $436,000 for 2 employee benefit plans of Columbus, Ohio-based Clark Graphics U.S. Department of Labor
Mar
23
2013
Commodity Futures Trading Commission (CFTC) Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression Katten
Sep
16
2015
Pay to Play: Appellate Division Upholds Ruling that Payment is Required to Qualify for Champerty Safe Harbor Provision Sheppard, Mullin, Richter & Hampton LLP
Sep
6
2017
Congressional Hearing regarding proposed financial regulation scheduled for September 7 Ballard Spahr LLP
Jan
27
2020
Risks Remain for Banks Servicing the Hemp Industry ArentFox Schiff LLP
Jan
4
2022
Cadwalader Cabinet: December 31, 2021 Cadwalader, Wickersham & Taft LLP
Jan
31
2023
New Texas Bill Would Provide Qualified Release Relief To Trustees Who Deliver Adequate Accountings Without A Timely Objection By The Beneficiary Winstead
Apr
24
2023
The Adler Restructuring Plan Judgment: Is Pari Passu Passé? Cadwalader, Wickersham & Taft LLP
Aug
17
2009
Spousal Guarantees Can Get You In $$$ Trouble Poyner Spruill LLP
Feb
15
2018
House Passes Bill to Amend TRID Rule Disclosures Ballard Spahr LLP
Feb
15
2019
ESAs Publish Final Report on Amendments to the PRIIPs Key Information Document Katten
Oct
11
2019
FINRA Provides Member Firms with New Reg BI and Form CRS Resources Katten
Jun
26
2020
IRS Provides Definitive Guidance On CARES Act Retirement Plan Provisions Barnes & Thornburg LLP
Oct
20
2022
FRB and FDIC Issue Joint ANPR on Possible Resolution Requirements for Large Banking Organizations While FRB and OCC Approve U.S. Bank MUFG Union Bank Merger Cadwalader, Wickersham & Taft LLP
Jun
8
2015
Democrats Push New Regulatory Relief Measure, CFTC and EU Regulators Work to Agree on Clearinghouse Rules
Oct
9
2018
Zillow Successful in Lawsuit Triggered by CFPB Investigation Ballard Spahr LLP
Jun
7
2019
Outsourcing Failures leave Raphaels Bank with £1.89m Fine Squire Patton Boggs (US) LLP
May
5
2020
IRS Disallows Deductions for Forgiven PPP Expenses von Briesen & Roper, s.c.
 

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