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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

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Feb
7
2019
A Back-to-School Progress Report Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Jan
17
2020
The Global Sustainable Finance Movement Bracewell LLP
Dec
9
2021
Whistleblowers Key to Combating Cryptocurrency Fraud Kohn, Kohn & Colapinto
Dec
18
2023
SEC Chair Doubles Down on AI Conflict of Interest Rules, Warns Firms Not to “AI-Wash” — AI: The Washington Report Mintz
May
12
2017
Conflict Minerals Rule — Will It Stay or Will It Go? Squire Patton Boggs (US) LLP
Oct
2
2018
House Passes Bill to Address Unintended Ginnie Mae Securitization Issue Created by S.2155 Ballard Spahr LLP
Oct
13
2023
SCOTUS Cert Recap: SCOTUS Adds 12 Cases To Docket, Including On Free Speech, Takings, Constitutional Remedies, And Claim Accrual Barnes & Thornburg LLP
Dec
4
2017
CFPB Changes Direction In Enforcement Action; Mulvaney Names Senior Advisor Ballard Spahr LLP
Jun
10
2022
Trend in Focus: Continuation Funds with Indian Considerations Nishith Desai Associates
May
10
2024
Taxation of Foreign Currency Transactions Part I: Definitions and Rules for Taxing Foreign Currencies ASKramer Law
Aug
11
2013
Financial Industry Regulatory Authority (FINRA) Issues FAQs Regarding Trade Reporting and Compliance Engine (TRACE) Reporting Katten
May
26
2015
Regulation A+ Final Rules - Securities Act Faegre Drinker
Jan
21
2016
U.S. Supreme Court to Take Up Issue of “Personal Benefit” in Insider Trading Context Faegre Drinker
Sep
30
2016
FINRA Proposes Rule to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility Katten
Feb
9
2018
House Again Passes Legislation to Review Points and Fees Ballard Spahr LLP
Feb
19
2024
Australian Securities and Investments Commission Levies Another Greenwashing Fine Cadwalader, Wickersham & Taft LLP
Mar
18
2013
Department of Labor (DOL) Releases Informal Guidance Addressing Fiduciary Responsibilities With Respect to Target Date Funds McDermott Will & Emery
May
17
2016
CFTC Proposes Reversing Course, Granting Private Right of Action in Energy Market Manipulation McDermott Will & Emery
May
23
2019
Compensation Newsletter: Trends In Director Equity Compensation This Proxy Season Bracewell LLP
Mar
22
2023
Cracking the Crypto Code: Unraveling the Complexities of Digital Finance with Amanda Wick [PODCAST] Bracewell LLP
Dec
10
2013
Lessons for Financiers and Lessors from Alpstream v. PK Airfinance Vedder Price
Feb
11
2019
How Invoices Take Billing Software for Law Firms to the Next Level PracticePanther
Jan
22
2020
FSCS Levy to Rise Squire Patton Boggs (US) LLP
Aug
17
2020
401(k) Fiduciary Litigation on the Rise – Take These Steps Now to Avoid Liability Later
Jan
20
2021
Supreme Court makes final decision on business interruption insurance in landmark case Squire Patton Boggs (US) LLP
Dec
15
2022
Improving Liquidity Through Real Estate Sale and Leaseback Transactions Greenberg Traurig, LLP
May
14
2017
CFTC Proposes Amendments to Chief Compliance Officers and Annual Report Requirements for Certain CFTC Registrants Covington & Burling LLP
Oct
4
2018
Washington State AG Sues Debt Buyers for Operating Without a License Ballard Spahr LLP
 

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