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
Aug
12
2021
CFTC Steps Up Activity in the Cryptocurrency Space With Latest Action for Violations of the Commodity Exchange Act and CFTC Regulations McDermott Will & Emery
Mar
8
2024
Part 3: Separate Accounts and CFTC Regulation §1.44—Different Views of the Same Situation Blank Rome LLP
Dec
11
2020
CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals Katten
Mar
18
2016
Second Circuit Addresses Statutes of Repose and Tolling in Securities Class Actions Proskauer Rose LLP
Apr
16
2018
The Fiduciary Rule: What’s Next (Part 3)?: Interesting Angles on the DOL’s Fiduciary Rule #87 Faegre Drinker
Apr
17
2019
Observations From the Enforcement Directors at SEC’s Annual Conference McDermott Will & Emery
Apr
14
2023
Small Business Lenders: CFPB Issues Final Rule on Small Business Lending Greenberg Traurig, LLP
Jan
5
2018
FCRA Ruling Rejects Argument that Foreclosure and Acceleration of Mortgage loan Rendered Reports of Monthly Delinquencies Inaccurate Ballard Spahr LLP
Dec
13
2018
DOJ agrees CFPB is unconstitutional but opposes grant of certiorari in State National Bank of Big Spring case Ballard Spahr LLP
May
25
2020
CFPB Reaches $18 Million Settlement with Mortgage Lender for Alleged FCRA Violations Womble Bond Dickinson (US) LLP
Dec
17
2021
SEC Sets the Table for Stricter Rule 10 B5-1 Insider Trading Plans and Enhanced Disclosures for Company Repurchases McDermott Will & Emery
Mar
10
2021
Changes to Public Procurement in The United Kingdom Post Brexit McDermott Will & Emery
Aug
26
2023
Control or Control Agreement Cadwalader, Wickersham & Taft LLP
Jan
11
2024
New York Law Targets Hidden Credit Card Fees Hunton Andrews Kurth
Dec
5
2019
Monitoring ERISA Investment Fiduciaries Epstein Becker & Green, P.C.
Jul
5
2022
Telecom Alert: $220K EBB Forfeiture; 800 MHz Interstitial Channels; Form 477 Deadline; NEPA Checklist Update [Vol. XIX, Issue 27] Keller and Heckman LLP
Oct
31
2023
Options for Menopause Benefits for Employees Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Jun
15
2013
Indian Nations Law Update - June 2013 Godfrey & Kahn S.C.
Oct
17
2013
Public Investors Arbitration Bar Association (PIABA) Calls Press Conference to Pressure for Further Restrictions on Broker Expungement Greenberg Traurig, LLP
Nov
18
2015
Opportunities in Derivatives for Community and Regional Banks Vedder Price
Aug
2
2016
IRS Announces Fines Paid to FINRA Are Not Deductible Morgan, Lewis & Bockius LLP
Jul
12
2017
The CFPB Finalizes Amendments to Federal Mortgage Disclosure Requirements under Regulation Z (the “Know Before You Owe” Rule) Covington & Burling LLP
Mar
11
2024
Department of Justice Announces New Whistleblower Rewards Program Cadwalader, Wickersham & Taft LLP
May
14
2012
Ponzi Schemes: Keeping Your “Return” on “Investment” Atlanta's John Marshall School of Law
Sep
3
2014
IRA's and Income Tax and Creditor Protection Planning Odin, Feldman & Pittleman, P.C.
Jul
23
2015
Seventh Circuit Holds That Risk of Future Fraudulent Charge on Credit Card Sufficient to Withstand Motion to Dismiss Wilson Elser Moskowitz Edelman & Dicker LLP
Apr
19
2018
Japanese Regulatory holds the First Meeting of the New Study Group on Virtual Currency Exchanges K&L Gates
Apr
16
2020
Physically Settled Power Hedges Under the ISDA North American Power Annex Katten
 

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