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
Jan
20
2017
Two New Sets of DOL Fiduciary Rule FAQs Morgan, Lewis & Bockius LLP
Jan
11
2020
2020 Ushers in Significant Change for Retirement Accounts Barnes & Thornburg LLP
Aug
14
2020
COVID-19: FCA Publishes Dear CEO Letter on Increased Client Money Balances Katten
Nov
2
2023
Energy & Sustainability Washington Update — November 2023 Mintz
Jun
7
2024
CFPB Circular Targets “Deceptive” Fine Print Sheppard, Mullin, Richter & Hampton LLP
Jun
15
2022
Cyber Threats, Creativity, and Growth: Recapping the 2022 Annual Factoring Conference Ward and Smith, P.A.
Aug
11
2013
European Securities and Markets Authority (ESMA) Publishes Updated Q&A Katten
Jun
1
2015
Commercial Mortgage-Backed Securitization Investors Given “Safe Harbor” Protection Squire Patton Boggs (US) LLP
Dec
4
2017
EU Proposals for Harmonisation of Insolvency Practitioners and Judges Squire Patton Boggs (US) LLP
Jun
6
2018
Understanding the Effect of Wyoming's Blockchain and Cryptocurrency Legislation K&L Gates
Jun
18
2020
EU Seeks Public Comments on Policies for Anti-money Laundering and Counter Financing Terrorism Squire Patton Boggs (US) LLP
Apr
7
2022
‘An Unusual Case in All Sorts of Ways’ – English High Court Considers Administration Application for Russian VTB Bank’s London Arm Greenberg Traurig, LLP
Mar
17
2013
SEC (Securities and Exchange Commission) Approves Off-Balance Sheet Supplemental Schedule Katten
Sep
11
2015
NYSE Proposes Rule To Expand Pre-market Notice Period Prior To Disseminating Material News Katten
Sep
25
2019
Final Rule on Institutional Accountability (Borrower Defense and Financial Responsibility) Published by U.S. Department of Education Faegre Drinker
Apr
28
2020
Hawaii is Latest State to Implement a Regulatory Sandbox to Attract Cryptocurrency Business Proskauer Rose LLP
Mar
29
2023
Growing Scrutiny of Private Equity in Health Care Foley & Lardner LLP
May
13
2016
FinCEN Issues Final Rules for Customer Due Diligence Requirements Cadwalader, Wickersham & Taft LLP
Mar
27
2020
The CARES Act: An Overview of Programs Impacting Financial Businesses Katten
Nov
24
2020
SEC Adopts Final Rules to Modernize Financial Disclosure Requirements Womble Bond Dickinson (US) LLP
Jan
23
2017
Second Circuit Adopts Narrow Interpretation of Trust Indenture Act Provision Intended to Protect Bondholders Katten
Oct
5
2018
LIBOR Replacement Language Published for Comment Katten
Jan
14
2020
SECURE Act and Guaranteed Income (Part 2) Faegre Drinker
Sep
22
2022
Executive Order Intensifies Scrutiny Of M&A Transactions Involving Foreign Investment In The U.S. Barnes & Thornburg LLP
Nov
3
2023
Whistleblowers Can Earn Millions Exposing Medicare Advantage Fraud Kohn, Kohn & Colapinto
Jun
10
2024
SEC Adopts Cybersecurity Amendments to Regulation S-P Greenberg Traurig, LLP
Jun
30
2021
Update: CFPB Finalizes Pandemic Mortgage Servicing Rules Greenberg Traurig, LLP
Dec
12
2013
SEC (Securities Exchange Commission) Charges Money Market Fund Adviser and Portfolio Manager with Violations of the Federal Securities Laws Vedder Price
 

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