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
Apr
1
2015
IRS Releases Final Regulations Clarifying 162(m) Limitation on Compensation Mintz
Apr
1
2015
A Review of Recent Whistleblower Developments Foley & Lardner LLP
Apr
1
2015
Proposed Treasury Regulations Aim to Curb Elective Treatment of M&A Transaction Costs Proskauer Rose LLP
Apr
1
2015
Welcome To California: No Foreign Corporations Need Apply Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
31
2015
50 Plus Pharmacy v. Choice Pharmacy Sys., LLC -- Plaintiff-friendly Arbitration Case Relating to Sale of a Business Armstrong Teasdale
Mar
31
2015
California and Delaware Courts Agree: Amendments to Corporate Bylaws Do Not Apply Retroactively to Impair Pursuit Previously Accrued Claims Sheppard, Mullin, Richter & Hampton LLP
Mar
30
2015
HFTs; MF Global; Another CFTC Big Fine; ATS Breakdowns; Fed Study Assesses Clearing: Bridging the Week March 23 to 27 and 30, 2015 Katten
Mar
30
2015
UK Company Director Jailed For Bribing Public Officials In Africa Squire Patton Boggs (US) LLP
Mar
30
2015
California District Court Refuses To Halt SEC Administrative Proceedings Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
29
2015
FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies Katten
Mar
29
2015
SEC Adopts Final Rules for Regulation A+ Offerings Katten
Mar
27
2015
U.S. Visa Options for Emerging Tech Entrepreneurs, Investors Greenberg Traurig, LLP
Mar
27
2015
SEC Proposes to Amend Rule 15b9-1 Katten
Mar
27
2015
Delaware Bar Proposes Amendments to Ban Fee-Shifting Provisions and Allow Delaware-Only Forum Selection Provisions in Corporate Charters and Bylaws Mintz
Mar
27
2015
IRS Guidance on the Work Opportunity Tax Credit Extension for 2014 McBrayer, McGinnis, Leslie and Kirkland, PLLC
Mar
25
2015
Supreme Court Clarifies Liability for Statements of Opinion in Registration Statements re: Securities Proskauer Rose LLP
Mar
25
2015
California Controller Must Still “Look To Find A Reason To Believe” Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
24
2015
A Corporation as an Expert Witness? IMS Legal Strategies
Mar
24
2015
Do Founders Really Control Their Company with 51% Ownership? Foley & Lardner LLP
Mar
24
2015
Should The SEC Adopt Governance Principles (For Itself)? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
23
2015
If You Are Proceeding Pro Se In The Business Court It Is Best Not To Be Defiant Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
Mar
23
2015
More “Broken Windows”: SEC Charges Schedule 13D Filers with Disclosure Violations for Failing to Update Ownership Reports Mintz
Mar
23
2015
SEC’s Limit on Retroactivity of Dodd-Frank Whistleblower Bounty Awards Is Reasonable, Second Circuit Holds Proskauer Rose LLP
Mar
23
2015
I’ve Just Learned My Customer Is A Crook – Do I Have To Return The Money He’s Paid Me? Squire Patton Boggs (US) LLP
Mar
23
2015
Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions Katten
Mar
23
2015
California Corporations Code Section 25501.5 – I Ask Again What Do It Mean? Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
21
2015
State Bar Council Proposes New Legislation for Delaware Fee-Shifting Ban and Delaware Court of Chancery Considers Fee-Shifting Bylaw Proskauer Rose LLP
Mar
20
2015
Not All Investors Are Created Equal In The Eyes of the SEC: Why You Should Consider Only Accredited Investors in Your Startup Varnum LLP
 

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