Financial, Securities & Banking

HB Ad Slot
HB Mobile Ad Slot

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
Jun
28
2023
House GOP ESG Working Group; Interim Report Released K&L Gates
Feb
21
2017
What Do You Know? California Bill Proposes To Eliminate Scienter Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
1
2019
Bridging by Gary DeWaal: June 24 – 28, and July 1, 2019 (Wash Sales; Another Spoofing Settlement) [VIDEO] Katten
Sep
1
2020
SEC Cancels Vote on Whistleblower Rule Changes Kohn, Kohn & Colapinto
Feb
17
2022
A Win for Policyholders Who Are Victims of Fraudulent Bank Transfer Schemes Hunton Andrews Kurth
Jul
14
2022
Crypto Mining – Plugging In and Powering Up [PODCAST] Bracewell LLP
Oct
12
2022
Resolving Crypto Disputes Through International Arbitration Ankura
Nov
4
2016
CFTC Market Risk Advisory Committee To Hold Meeting Katten
Sep
26
2017
CFPB proposes off-balanced approach to public disclosure of HMDA data Ballard Spahr LLP
Jul
17
2018
FSB Develops Framework for Monitoring Crypto Risks Covington & Burling LLP
Mar
11
2019
CFPB does not seek lifting of stay of compliance date for payday loan rule’s payment provisions in new status report filed in trade groups’ lawsuit Ballard Spahr LLP
Apr
19
2022
SEC Charges Investment Adviser's Former CIO and Founder in Connection with Fraudulently Overvaluing Assets Vedder Price
Jan
22
2014
Section 1111(b) of the Bankruptcy Code: An Effective Weapon for Undersecured Creditors Opposing Confirmation of Cramdown Chapter 11 Plans Barnes & Thornburg LLP
Jun
25
2016
European Securities and Markets Authority (ESMA) Issues Opinion on Market Abuse Regulation Implementing Technical Standards on Disclosure of Inside Information Katten
Mar
7
2018
Federal Court to decide whether tokens issued through an ICO are securities K&L Gates
Nov
1
2018
CFTC Whistleblower Program Annual Report Reveals Active Year and Success in Enlisting Whistleblowers to Combat Commodities Fraud Zuckerman Law
Jan
17
2024
Neither a Borrower Nor a Lender Be! Katten
Jan
11
2012
Recent Franchising Stories Focus On Funding And Incentives Armstrong Teasdale
Jul
17
2014
College Tuition and Child Support in Kentucky McBrayer, McGinnis, Leslie and Kirkland, PLLC
Nov
9
2014
SEC Approves New Exchange Traded Mutual Fund Structure Katten
Oct
13
2015
SEC Charges Investment Adviser for Failure to Disclose Acceleration of Monitoring Fees and Discounts on Legal Fees Sheppard, Mullin, Richter & Hampton LLP
Apr
7
2020
COVID-19 Update: FCA Proposals on Temporary Financial Relief for Consumer Credit Customers Affected by COVID-19 Cadwalader, Wickersham & Taft LLP
Nov
4
2023
2024 Will See Modest COLAs for Qualified Retirement Plans Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Jun
21
2017
Will It Soon Be Game over for Tax-Exempt Financing of Professional Sports Stadiums? Mintz
Nov
1
2019
ISS Files Suit Against SEC for Proxy Voting Advice Guidance Katten
May
11
2020
Don’t Judge a Tradebook by Its Cover Polsinelli PC
Dec
15
2017
Illinois Decision Sheds Light on Potential Pitfalls for Intercreditor Agreements Horwood Marcus & Berk Chartered
Jul
8
2019
New York Department of Financial Services Opens Investigation into Facebook Advertisers Ballard Spahr LLP
 

NLR Logo

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up to receive our free e-Newsbulletins

 

Sign Up for e-NewsBulletins