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
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Jun
2
2016
SEC Continues Focus on Conflicts of Interest and Adviser Fiduciary Duties Foley & Lardner LLP
Jun
25
2018
CFPB files response supporting motion for reconsideration of plaintiffs in industry lawsuit challenging CFPB payday loan rule Ballard Spahr LLP
Jun
12
2019
CFPB to Hold June 25 Symposium on Abusive Acts or Practices Ballard Spahr LLP
Dec
17
2020
Guidance on the New York Regulations and Mandatory Filings with Electronic Filing Depository Greenberg Traurig, LLP
Apr
25
2022
Energy and Environmental Considerations in the Metaverse ArentFox Schiff LLP
Apr
24
2023
The Adler Restructuring Plan Judgment: Is Pari Passu Passé? Cadwalader, Wickersham & Taft LLP
Feb
20
2018
D.C. releases revised Bill of Rights for student loan borrowers Ballard Spahr LLP
Dec
11
2017
Federal Reserve Proposes to Increase Stress Test Transparency Covington & Burling LLP
Aug
25
2020
Six Feet Away – SEC OCIE Announces Risk Considerations Pertaining to COVID-19 Polsinelli PC
Feb
4
2016
UK Jury Hands Prosecutors First Loss in LIBOR Trials Barnes & Thornburg LLP
May
30
2017
Wealth Management and Trump Administration: Updated Guide Womble Bond Dickinson (US) LLP
Sep
15
2017
Criminal Record Check for Persons Applying for Employment in the Entities of the Financial Sector – the Draft Legislation (Poland) Squire Patton Boggs (US) LLP
Jan
31
2020
United States v. Blaszczak: Second Circuit Ruling Creates Opening for Significant Increase in Insider Trading Prosecutions Sheppard, Mullin, Richter & Hampton LLP
Jun
26
2020
IRS Provides Definitive Guidance On CARES Act Retirement Plan Provisions Barnes & Thornburg LLP
Jan
4
2022
Cadwalader Cabinet: December 31, 2021 Cadwalader, Wickersham & Taft LLP
Jun
15
2015
MF Global: The In Pari Delicto Defense is Alive and Well Squire Patton Boggs (US) LLP
Sep
24
2015
SEC Announces Cybersecurity Enforcement Action Proskauer Rose LLP
Oct
17
2016
G-7 Publishes Fundamental Elements of Cybersecurity for Financial Sector Covington & Burling LLP
Oct
19
2018
Governor Brainard Discusses Financial Inclusion, Fintech, and Reforms to the Community Reinvestment Act Covington & Burling LLP
Oct
18
2019
Proposed Rules Addressing LIBOR Phase-out Help Ease Reissuance Concerns Bracewell LLP
May
5
2020
IRS Disallows Deductions for Forgiven PPP Expenses von Briesen & Roper, s.c.
Feb
9
2021
It's Official! SEC Agrees "Shall" Is Ambiguous Allen Matkins Leck Gamble Mallory & Natsis LLP
Oct
19
2022
FCA Tightens Appointed Representative Regime Squire Patton Boggs (US) LLP
Jun
30
2023
Corporate Debt Market Development Fund & Other Key Amendments Introduced by SEBI Nishith Desai Associates
Sep
18
2012
Derivatives & Futures Update September 2012 ArentFox Schiff LLP
Jun
26
2018
New York Court Decision Makes It Even Harder to Pay Your Employees Womble Bond Dickinson (US) LLP
Jun
13
2019
SEC Sues Kik for ICO Proskauer Rose LLP
Nov
14
2023
ECB Cautions Banks About Heightened Exposure to Climate Litigation Cadwalader, Wickersham & Taft LLP
 

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