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
Jan
4
2016
SEC Reproposes Rules for Resource Extraction Issuers Morgan, Lewis & Bockius LLP
Apr
26
2016
As Panama Papers Leak Illustrates, IRS Discovery of Undisclosed Assets Just a Matter of Time Varnum LLP
Apr
27
2017
Ninth Circuit Court Rules Plaintiff Failed To Plead Real Estate Investment Was “Security” Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
10
2019
Board Affirms Right to Unilaterally Implement Changes to Benefit Plans Based on Waiver, Foreshadowing Potentially Looser Standard for Contractual Waivers Proskauer Rose LLP
Apr
22
2020
[FCRA] Creditors Walk a Fine Line When Communicating With a Debtor During and After Bankruptcy Squire Patton Boggs (US) LLP
Dec
4
2020
CFTC Adopts New Rules on Position Limits; SEC and CFTC Harmonize Minimum Margin Levels for Securities Futures Vedder Price
Jan
4
2024
UK Tax Round Up December 2023 Proskauer Rose LLP
Aug
3
2011
SEC Investigating Shale Gas Producers Greenberg Traurig, LLP
Jan
6
2015
Avon Settles FCPA Charges - Foreign Corrupt Practices Act Faegre Drinker
Aug
25
2015
Eleventh Circuit Addresses Statutory Penalty Claims under ERISA Wilson Elser Moskowitz Edelman & Dicker LLP
Jan
25
2019
Audit Committees and Audit Quality: Guidance from IOSCO Squire Patton Boggs (US) LLP
May
9
2019
How Close A Relation Is Section 25110 To Section 12(a)? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
2
2020
SECURE Act Womble Bond Dickinson (US) LLP
Oct
25
2023
Commodity Futures Trading Commission Follows Compliance Monitor Trend Barnes & Thornburg LLP
Jul
18
2013
A Quick Overview of EB-5 Trends and Events: What Recent History Tells Us and Predictions for the Years to Come Greenberg Traurig, LLP
Sep
14
2018
[Podcast]: Steps to Reduce Risk of Claims Associated With 401K Plans Proskauer Rose LLP
Oct
1
2022
Readout of Russian Elites, Proxies, and Oligarchs (REPO) Task Force Deputies Meeting The U.S. Department of Justice
Feb
24
2013
Who Picks Up the Tab for Delinquent Condo Owner Assessments? Greenberg Traurig, LLP
Jun
27
2022
DFPI Proposes Rules For Commercial Financial Products And Services Allen Matkins Leck Gamble Mallory & Natsis LLP
May
23
2024
SEC Clarifies Confusion Concerning Cybersecurity Incident Reporting Greenberg Traurig, LLP
Nov
21
2017
U.S. Department of the Treasury Issues Report on Asset Management and Insurance Regulation Vedder Price
May
25
2018
FINRA Proposed Rule Changes & Notice of Disclosure Review Enhancements Katten
Jun
12
2020
Enactment of Paycheck Protection Flexibility Act of 2020 Jones Walker LLP
Jan
28
2021
Law Firm Billing: Five Ways To Ensure Your Clients Pay On Time PracticePanther
Jan
4
2023
Insurers Beware of “Silent Crypto” Exposure Wilson Elser Moskowitz Edelman & Dicker LLP
Aug
3
2012
CFTC Adopts Rule Implementing the Dodd-Frank End-User Exception to Mandatory Swap Clearing Requirement Hunton Andrews Kurth
May
8
2015
ESMA Releases Final Guidance on the Definition of Physically Settled Commodity Derivatives Under MiFID I Katten
Jan
7
2016
When Voluntary Self-Disclosure Isn’t so Voluntary: SEC Says Self-Disclose or Forfeit Non-Prosecution and Deferred Prosecution Sheppard, Mullin, Richter & Hampton LLP
 

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