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.

For 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

Custom text		Organization
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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