Financial, Securities & Banking

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

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Apr
3
2020
 SBA Issues Interim Rule and Guidance to CARES Act Paycheck Protection Program Stark & Stark
Apr
3
2020
 HHS to Exercise Enforcement Discretion to Permit HIPAA Business Associates to Use and Disclose PHI to Public Health Authorities during the COVID-19 Health Crisis Proskauer Rose LLP
Apr
3
2020
 Latest Guidance on Paycheck Protection Loan Program under the CARES Act Womble Bond Dickinson (US) LLP
Apr
3
2020
 In Determining Legal Duties Owed, The Nature Of The Entity–And Not What You Call It–Controls Womble Bond Dickinson (US) LLP
Apr
3
2020
 SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 Katten
Apr
3
2020
 Agencies to Consider Comments on Volcker Rule Modifications Katten
Apr
3
2020
 Claiming Tax Credits under FFCRA and CARES Act Varnum LLP
Apr
3
2020
 COVID-19: Massachusetts Governor Extends Non-Essential Business Closures and Updates Non-Essential Business Categories Pierce Atwood LLP
Apr
3
2020
 Will Legislation Require Coverage for COVID-19 Business Interruption Losses? Barnes & Thornburg LLP
Apr
3
2020
 Whistleblower Award? See the SEC Notices of Covered Actions for March 2020 Kohn, Kohn & Colapinto
Apr
3
2020
 Expanded CISA Guidelines Broadens the Scope of “Essential Business” for Manufacturing and Construction Operations Bracewell LLP
Apr
3
2020
 Restrictions On Executive Compensation For Companies Receiving Financial Assistance Under The CARES Act Barnes & Thornburg LLP
Apr
3
2020
 Hire An Out-Of-State Law Firm? You Might Not Be Able To Sue Them In NC Womble Bond Dickinson (US) LLP
Apr
3
2020
 CFTC Provides Relief to Certain Foreign Affiliates of FCMs in Response to COVID-19 Katten
Apr
3
2020
 Changes to the UK Government financial measures mean more small and mid-tier businesses can benefit Squire Patton Boggs (US) LLP
Apr
3
2020
 Title III Coronavirus FAQs: Tips for Addressing Common ADA Title III Issues During the COVID-19 Pandemic Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
Apr
3
2020
 Assessing the value of pensions promises – parent company guarantees Squire Patton Boggs (US) LLP
Apr
3
2020
 Close Corporation Or Simply A Closely Held Corporation?Close Corporation Or Simply A Closely Held Corporation? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
3
2020
 Illinois Governor Extends COVID-19 Stay-at-Home Executive Orders Through April 30, 2020 Jackson Lewis P.C.
Apr
3
2020
 Issues Facing Commercial Mortgage Lenders in the COVID-19 Pandemic Sills Cummis & Gross P.C.
Apr
3
2020
 Steps Private Equity Managers Should Take Now, Both For the Present and Post-Crisis Polsinelli PC
Apr
3
2020
 The COVID-19 Pandemic and Your Company's Corporate Disclosures: Key Takeaways from the SEC's Recently Issued Guidance Ryley Carlock & Applewhite, A Professional Corporation
Apr
3
2020
 Much Ado About Clearview Womble Bond Dickinson (US) LLP
Apr
3
2020
 SBA Issues New Guidance on Paycheck Protection Program Polsinelli PC
Apr
3
2020
 Business Owners’ Guide to SBA Loan Opportunities Under the Coronavirus Aid, Relief, and Economic Security (CARES) Act Winstead
Apr
3
2020
 COVID-19 and Impracticability and Frustration of Purpose as Defenses to Breach of Contract Claims in Pennsylvania Norris McLaughlin P.A.
Apr
3
2020
 Mexico And COVID-19 Essential Activity Restrictions Barnes & Thornburg LLP
Apr
3
2020
 Business Interruption Insurance Coverage Issues Arising from the COVID-19 Pandemic Sills Cummis & Gross P.C.
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