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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Nov
29
2011
Be Careful What You Ask for: Loser Pays Prevailing Party Electronic Discovery Costs (Again) Morgan, Lewis & Bockius LLP
Nov
29
2011
Holiday Party Planning: Avoiding Employee Misconduct at Your Year-End Celebration Michael Best & Friedrich LLP
Nov
29
2011
SEC Approves More Rigorous Listing Requirements of the Major U.S. Stock Exchanges for Reverse Merger Companies McDermott Will & Emery
Nov
28
2011
Ninth Circuit Latest to Permit Corporate Liability Under Alien Tort Statute; Supreme Court to Resolve Circuit Split in 2012 Sheppard, Mullin, Richter & Hampton LLP
Nov
28
2011
Final Regulations on Partnership Debt-for-Equity Exchanges McDermott Will & Emery
Nov
27
2011
MOFCOM Issues Its Eighth Conditional Clearance—Minority Shareholders Beware McDermott Will & Emery
Nov
26
2011
Best Practices for CEOs to Build Compliant Organizations Greenberg Traurig, LLP
Nov
25
2011
The Pitfalls of Using Open-Source Code Vedder Price
Nov
24
2011
IRS Issues Final Regulations on Partnership Equity for Debt Exchanges Bracewell LLP
Nov
22
2011
Unprecedented Tool Developed for Small Businesses to find and Compare Health Insurance Plans U.S. Department of Health & Human Services
Nov
22
2011
Lender's Losses in Fraud Case May Exceed 400% of Loan Amount Much Shelist, P.C.
Nov
22
2011
In Ninth Circuit, Whistleblowers Not Exempt From Confidentiality Agreements Sheppard, Mullin, Richter & Hampton LLP
Nov
21
2011
ISS Releases 2012 Updates to Proxy Voting Guidelines Morgan, Lewis & Bockius LLP
Nov
21
2011
China NDRC Fines Two Pharmaceutical Distributors for Monopolistic Practice McDermott Will & Emery
Nov
21
2011
Treasury Department Issues Final Regulations Clarifying Federal Income Tax Treatment of an Exchange of Partnership Debt for an Equity Interest in the Partnership Greenberg Traurig, LLP
Nov
20
2011
Corporate Officers May Face the “Economic Reality” of Individual Liability for Misclassifying Workers Under the Fair Labor Standards Act Vedder Price
Nov
20
2011
China’s First Merger Control Decision Approving a Joint Venture—GE & Shenhua McDermott Will & Emery
Nov
19
2011
DOJ Targets FCPA and Anti-Trust Violations Jointly Sheppard, Mullin, Richter & Hampton LLP
Nov
19
2011
InvestOhio Creates Tax Credit to Benefit Small Businesses Dinsmore & Shohl LLP
Nov
18
2011
New Personal Conflict Of Interest Rules For Contractors Sheppard, Mullin, Richter & Hampton LLP
Nov
18
2011
DOJ Official Reiterates Threat to Prosecute Criminally Responsible Corporate Officials for Violations of FD&C Act Barnes & Thornburg LLP
Nov
17
2011
Merchants Don't Be Caught Off Guard: Unsolicited Advertising in Faxes and Text Messages Expose You to Class Action Litigation Much Shelist, P.C.
Nov
17
2011
Longest Prison Sentence Yet in FCPA Case Sheppard, Mullin, Richter & Hampton LLP
Nov
15
2011
Tougher Listing Standards for Reverse Merger Companies Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Nov
14
2011
Recent Illinois Case Highlights Important Distinctions Between Restrictive Covenants in the Sale-of-Business and Employment Contexts Vedder Price
Nov
14
2011
Leadership Transitions: Jobs vs. Buffett...or the Best of Both? Much Shelist, P.C.
Nov
14
2011
Derivatives — Congress Introduces Legislation to Clarify Extra-Territorial Reach of Dodd-Frank Swap Rules Greenberg Traurig, LLP
Nov
13
2011
CFTC Launches Whistleblower Program: Dodd-Frank Update Greenberg Traurig, LLP
 

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