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
Apr
25
2022
SEC Chair Reiterates New Potential Cyber Regulations at Financial Sector Meeting Squire Patton Boggs (US) LLP
Mar
24
2012
Regulated Bidding for Emissions Allowances Under Phase Three of the EU Emissions Trading Scheme McDermott Will & Emery
Nov
6
2015
CFTC Staff Publishes Responses to Frequently Asked Questions Regarding Commission Forms CPO-PQR and CTA-PR Katten
Apr
10
2019
China's New Foreign Investment Law: What's New and What's Next McDermott Will & Emery
Jan
26
2023
SEC Re-Proposes Dodd-Frank Act Section 621 Conflicts of Interest Rule Cadwalader, Wickersham & Taft LLP
Feb
5
2011
JPMorgan Chase Reportedly Ignored Its Risk Management Department’s Warnings About Madoff Risk and Insurance Management Society, Inc. (RIMS)
Jun
1
2013
National Futures Association (NFA) Issues Notice to Members Regarding Section 16 Financial Requirements for Cleared Swaps Customer Collateral Katten
Oct
10
2013
Second Circuit Affirms Dismissal of Class Action Against ProShares Exchange-Traded Funds (ETFs) Vedder Price
Jul
14
2015
Regulators Fail To Identify Cause Of Abnormal US Treasury Trading on October 15, 2014 Proskauer Rose LLP
Mar
12
2017
FCA Highlights Best Execution Concerns at Investment Managers Katten
Dec
7
2018
State AGs enter into settlement with debt buyer to resolve robosigning allegations Ballard Spahr LLP
Jul
25
2016
Proposed Rule Relates to Investment Advisers' Business Continuity and Transition Plans Bracewell LLP
Nov
14
2016
UK Treasury Committee Publishes FCA Letter on Asset Management, Financial Services and Passporting in Post-Brexit Environment Katten
Aug
14
2018
BCFP Enters Consent Order with Hydra Group Covington & Burling LLP
Mar
29
2020
The CARES Act: What Does It Mean for Financial Institutions? Vedder Price
Nov
5
2020
SEC Publishes New Whistleblower Rules; Deadlines Impact Thousands of Cases Kohn, Kohn & Colapinto
Nov
21
2019
Sixth Circuit finds no standing where plaintiff failed to show concrete injury caused by alleged violations of the Fair Credit Reporting Act (FCRA). Greenberg Traurig, LLP
Jul
21
2022
Sixth Circuit Upholds Dismissal of Some Investment Fee and Performance Claims But Allows Mutual Fund Share Class Claim to Proceed to Discovery Proskauer Rose LLP
Jun
30
2023
U.S. Executive Branch Update – June 30, 2023 Squire Patton Boggs (US) LLP
Nov
14
2023
ECB Cautions Banks About Heightened Exposure to Climate Litigation Cadwalader, Wickersham & Taft LLP
Mar
24
2015
Proposed FINRA Rule Would Require Associated Persons Who Develop Algorithmic Trading Strategies To Register as Equity Traders Proskauer Rose LLP
May
21
2020
Small Business Administration Issues Guidance on Forgiveness of Paycheck Protection Program Loans Jackson Lewis P.C.
Apr
21
2023
Current State of Play of Alternative Currency Benchmark Rates Cadwalader, Wickersham & Taft LLP
Sep
1
2023
Blocking, Rejecting, and Reporting: 3 Keys to OFAC Compliance for Financial Institutions Oberheiden P.C.
Dec
5
2014
Daubert Analysis at the Class Certification Stage IMS Legal Strategies
Jul
4
2017
SEC Takes Aim at Broker-Dealers for Anti-Money Laundering Violations Zuckerman Law
Jan
30
2023
Congress Codifies Longstanding M&A Broker Exemption from SEC Registration Greenberg Traurig, LLP
Oct
13
2013
Financial Industry Regulatory Authority (FINRA) Discusses Suitability Rule Examination Findings Katten
 

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