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
23
2019
Gulf States Gaming - Commission Meeting Minutes August 23, 2019 Jones Walker LLP
Jun
5
2020
Major Changes Coming To PPP With Paycheck Protection Flexibility Act Bracewell LLP
May
4
2015
Vendor Management Risks and Controls Poyner Spruill LLP
Jan
18
2018
CFPB Intends To Reconsider Payday Rule Covington & Burling LLP
Apr
26
2019
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing Katten
May
18
2023
Regulators’ Increased Focus on GP-Led Secondaries and Continuation Funds Proskauer Rose LLP
Apr
9
2024
5th Circuit Says District Court Lacked Jurisdiction to Transfer CFPB Late-Fee Rule Suit Out of Texas Greenberg Traurig, LLP
Jan
2
2015
Year in Review: Government Enforcement/Financial Litigation Developments Barnes & Thornburg LLP
Apr
19
2016
Long-Awaited Decision is Mixed Result for Litigants Battling FERC Enforcement Actions in Federal Court Cadwalader, Wickersham & Taft LLP
Jan
17
2019
Minnesota federal court decision is warning to lead generators Ballard Spahr LLP
Jan
5
2021
Four Keys to FTC Compliance in 2021 Oberheiden P.C.
Feb
23
2023
The Community Bank Within the ESG Environment — Part I Jones Walker LLP
Nov
30
2023
FTC and CPPA Release Rules to Address AI Risks and Protect Consumer Rights
Jan
30
2024
CFTC Requests Comment on the Use of Artificial Intelligence in CFTC-Regulated Markets K&L Gates
Jun
26
2012
Financial Services Legislative and Regulatory Update - June 25, 2012 Mintz
Dec
22
2016
Spokeo Was a Loss for Plaintiffs, Seventh Circuit Reaffirms Vedder Price
Nov
9
2017
CFPB/Fed/OCC increase exemption thresholds for appraisal requirement, Regs Z and M Ballard Spahr LLP
Sep
10
2018
UK’s Financial Conduct Authority gives guidance on future priorities, FinTech and Brexit Covington & Burling LLP
Sep
22
2023
Laying the Groundwork on Foreign Sovereign Immunity Cadwalader, Wickersham & Taft LLP
Dec
18
2015
Federal Banking Agencies Seek Comment on Interagency Effort to Reduce Regulatory Burden Katten
Jul
16
2013
Financial Industry Regulatory Authority (FINRA) Orders Wells Fargo and Banc of America to Reimburse Customers More Than $3 Million and Pay $2.15 Million in Fines for Unsuitable Sales of Bank Loan Mutual Funds Godfrey & Kahn S.C.
Aug
18
2015
Supreme Court, Citing Dewsnup v. Timm, Refuses to Allow a Debtor to Strip Off a Fully Undersecured Second Lien Against Debtor’s Home Holland & Hart LLP
May
9
2018
FSCS, changes afoot Squire Patton Boggs (US) LLP
Jun
8
2020
Guaranty Enforcement in a Time of Rent Deferrals and Other Economic Accommodations Vedder Price
Oct
2
2020
FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules Katten
Mar
15
2022
Economic Crime (Transparency and Enforcement) Bill 2022 Becomes Law – Practical Implications of UK Property Ownership by Overseas Entities Greenberg Traurig, LLP
Feb
16
2013
Securities and Exchange Commission (SEC) Comforts Appointed Board Members of Municipal Issuers on Valentine's Day Mintz
Jan
19
2018
SEC and CFTC Issue Joint Statement on Virtual Currency Enforcement Actions Ballard Spahr LLP
 

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