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

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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
Mar
20
2015
Bank of New York Mellon Agrees To Pay $714 Million to Resolve Claims Regarding Foreign Exchange Fraud Tycko & Zavareei LLP
Mar
20
2015
Delaware Court of Chancery Restricts Board’s Ability to Subject Former Shareholders to New Bylaws Katten
Mar
19
2015
Crowdfunding? Really? Crowdfunding Rule under the JOBS Act Lewis Roca Rothgerber LLP
Mar
19
2015
Executive Compensation Disclosures a Wasted Effort? Squire Patton Boggs (US) LLP
Mar
19
2015
Pre-Emption Group Makes Important Changes to Pre-Emption Principles re: UK Incorporated Companies Squire Patton Boggs (US) LLP
Mar
19
2015
California Bar Committee Publishes Venture Capital Sample Opinion Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
18
2015
Didn’t They Do Well? UK Department for Business Innovation and Science (BIS) Report On Compliance With Remuneration Reporting Squire Patton Boggs (US) LLP
Mar
18
2015
Proposed IRS Regulations Clarify Allocation of M&A Costs Faegre Drinker
Mar
18
2015
The FCPA Mandate in a Nutshell--Foreign Corrupt Practices Act
Mar
18
2015
State Tax Developments for Pass-Through Entities: Apportionment of Income for Corporate Partners Horwood Marcus & Berk Chartered
Mar
17
2015
Top 10 Takeaways from ABA White Collar Crime Conference 2015 (Part 1) Barnes & Thornburg LLP
Mar
17
2015
Exclusive Study Analyzes 2014 IPOs - Initial Public Offerings Proskauer Rose LLP
Mar
17
2015
Why Start-Ups Use Convertible Debt Part III: The Virtues of Convertible Debt for a Start-Up Foley & Lardner LLP
Mar
17
2015
California Court Decides Dissolved Corporation “Still Exists” Allen Matkins Leck Gamble Mallory & Natsis LLP
Mar
17
2015
OSHA Issues Final Rule on SOX Whistleblower Claims Dinsmore & Shohl LLP
Mar
17
2015
After Newman, Congress Seeks to Define Insider Trading Proskauer Rose LLP
Mar
17
2015
Federal Government Contractors Must Register in Local Jurisdictions Odin, Feldman & Pittleman, P.C.
Mar
17
2015
Franchise Agreement Transfer Provisions in the Hospitality Industry Greenberg Traurig, LLP
Mar
17
2015
Bridging the Week: March 9 to 13 and 16, 2015 re: CFTC, False Claims Act, FINRA and more [VIDEO] Katten
Mar
17
2015
One Less Carrot for Business: Council of European Union Limits the “One-Stop Shop” Mechanism in the Draft Data Protection Regulation Mintz
Mar
16
2015
Nondisclosure Agreements Prevent Local Law Enforcement from Acknowledging it Can Search Cell Phone without a Warrant Jackson Lewis P.C.
Mar
16
2015
SEC Releases Results of Cybersecurity Exam Sweep Brooks, Pierce, McLendon, Humphrey & Leonard, LLP
 

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