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
Nov
16
2016
Post-Election Outlook for Financial Regulatory Agencies: Board of Governors of the Federal Reserve System Covington & Burling LLP
May
11
2022
Congress Should Vote or Get off the Pot Bradley Arant Boult Cummings LLP
Apr
8
2019
Sec Issues First Cryptocurrency No-Action Letter – Where’s the Action? Mitchell Silberberg & Knupp LLP
Dec
5
2018
CA Regulator Invites Comments on Proposed Rulemaking to Implement New Law Requiring Commercial Financing Disclosures Ballard Spahr LLP
May
20
2020
The Federal Reserve’s Municipal Liquidity Facility: Providing Financial Relief but at What Cost? Dinsmore & Shohl LLP
Nov
18
2021
With Updated Safeguards Rule, FTC Signals New Wave of Cybersecurity Enforcement for Financial Institutions Greenberg Traurig, LLP
Sep
18
2023
Offering of NFTs Allegedly Promoted as Investments Claimed To Be Unregistered Securities Offering by SEC in Settled Enforcement Action Katten
Apr
3
2024
Fifth Circuit's German Pellets Opinion: Risks of Nonparticipation in Bankruptcy for Creditors ArentFox Schiff LLP
Jun
11
2021
CFIUS Clearance: Macquarie Group and Waddell & Reed Financial Squire Patton Boggs (US) LLP
Jan
25
2024
Trends in 2024: American Bar Association Banking Law Committee Insights Cadwalader, Wickersham & Taft LLP
Jul
22
2016
The Effect of “Brexit” on Tax-Qualified Plans Morgan, Lewis & Bockius LLP
Mar
17
2017
New Tax Charge For Overseas Pension Transfers Squire Patton Boggs (US) LLP
Apr
10
2018
SEC Issues Cybersecurity Guidance, BlackRock and Gender Diversity, and News from the SEC and NYSE: Capital Markets & Public Companies Quarterly McDermott Will & Emery
Mar
9
2020
Weekly IRS Roundup March 2 – 6, 2020 McDermott Will & Emery
Aug
9
2022
First-of-a-Kind Crypto Insider Trading Prosecution: SEC-v-Wahi et al Action May Have Broad Implications Across the Digital Asset Space ArentFox Schiff LLP
Oct
11
2013
New SEC Rule Helps Entrepreneurs Raise Capital Greenberg Traurig, LLP
Aug
19
2014
Foreign Investors Still Stimulating Miami’s Real Estate Boom Bilzin Sumberg
Mar
11
2016
California Finders Exemption Has Yet To Catch On Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
18
2016
The Trump Administration: Change By Appointment Cadwalader, Wickersham & Taft LLP
Dec
4
2019
Responsible Investment Framework: IA aims to increase clarity and consistency Squire Patton Boggs (US) LLP
Nov
13
2015
It’s Official: SEC Publishes Final Rules for Investment Crowdfunding Varnum LLP
Apr
11
2019
“Cum-Ex” Tax Scandal Arrives in Strasbourg and Ensnares International Law Firm Squire Patton Boggs (US) LLP
Aug
1
2019
HUD Reduces Maximum LTV for FHA Cash-Out Refinance Loans Ballard Spahr LLP
Oct
19
2017
Potential Adjustment to Dodd-Frank SIFI Threshold Jones Walker LLP
Dec
7
2018
Lenders’ Discretion and the Limitation of the Braganza Duty Squire Patton Boggs (US) LLP
May
21
2020
Small Business Administration Issues Guidance on Forgiveness of Paycheck Protection Program Loans Jackson Lewis P.C.
Sep
19
2023
ESG Policy Update–Australia September 19, 2023 K&L Gates
Apr
4
2024
CFPB Signals New FCRA Rules Targeting Data Brokers Are Ahead Greenberg Traurig, LLP
 

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