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
Oct
26
2020
SEC Adopts New Rule 12D1-4 Overhauling Fund of Funds Arrangements--Are You Ready? K&L Gates
Jul
14
2014
Supreme Court Returns to ERISA Statutory Basics, Rejects Moench Presumption: Implications for ESOP Trusts Holding Non-Publicly Traded Securities Jackson Lewis P.C.
Feb
7
2020
SEC Examiners Release Cyber Observations: What You Need To Know Bracewell LLP
Apr
13
2023
How Securities Firms Can Comply with OFAC in 2024 and Avoid FINRA Scrutiny Oberheiden P.C.
Jun
3
2024
CFPB Issues Interpretive Rule Classifying BNPL Products as ‘Credit Cards’ Greenberg Traurig, LLP
Sep
20
2017
Veil Piercing/Alter Ego Determinations – How Fund Managers Can Protect Themselves Proskauer Rose LLP
Mar
8
2019
Blockchain & Cryptocurrency Newsletter - Winter 2019 Greenberg Traurig, LLP
Oct
31
2023
Taxpayer Makes Offer, But IRS Refused Chuhak & Tecson, P.C.
Mar
6
2024
SEC Issues Long-Awaited Climate Risk Disclosure Rule K&L Gates
Apr
19
2013
Taxpayer Challenges Validity of IRS Transfer Pricing Regulation McDermott Will & Emery
Oct
26
2016
Banking Industry: More Regulatory Sandboxes K&L Gates
Oct
31
2018
CFPB Revises HMDA Small Entity Compliance Guide Ballard Spahr LLP
Jul
7
2020
Corporate Credit Facility Update: Latest New York Fed Guidance on CCF Programs Proskauer Rose LLP
Oct
4
2012
California Creates First State-Run Retirement Plan for Private Sector Employees Barnes & Thornburg LLP
Feb
22
2016
Financial Services Lawmakers Set Agenda for 2016 and Look for Solution to Puerto Rico’s Debt Crisis; CFPB, SEC, OFR All Hold Meetings
Jun
13
2016
Don’t Even Think About Violating That Penny Stock Bar Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Jun
9
2017
FINRA Issues Notice Regarding Disruptive Quoting and Trading Activity Rule Changes Katten
Mar
2
2018
The Creeping Incrementalism of Financial Reform: A Status Report Morgan, Lewis & Bockius LLP
Oct
25
2019
FCA Publishes SAR and STOR Guidance Katten
May
11
2020
Gift of a Remainder Interest in a Personal Residence or Farm to Charity – Why Now? McDermott Will & Emery
Jul
19
2010
Sixth Circuit Court of Appeals Affirms 12-Year Sentence for Investment Adviser Convicted of Violating Investment Advisers Act Cosgrove Law, L.L.C.
Feb
14
2017
Update on the USDOL Conflict of Interest Rule and Related Exemptions Proskauer Rose LLP
Jun
21
2019
FinCEN’s Evolving Approach to Lurking Threats in Money Laundering and Terrorist Financing: Director Blanco’s Remarks at NYU Law Ballard Spahr LLP
Oct
27
2020
The International State of Corruption: Why the Foreign Corrupt Practices Act Continues to be the Most Successful Mechanism Available to Fight Corruption. Kohn, Kohn & Colapinto
Oct
20
2021
401(k) Plan Top 10 Year End Laundry List Foley & Lardner LLP
Aug
26
2013
Securities Exchange Commission (SEC) Approves Amendments to Financial Industry Regulatory Authority (FINRA) Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information Katten
Jul
16
2014
Main Street Cashes $3.1 Billion in Checks from Wall Street Bilzin Sumberg
Feb
23
2015
Fraud Verdict Against Countrywide & Bank of America Upheld Bilzin Sumberg
 

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