Corporate, Financial, SEC, & Banking Law Updates

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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 Corporate Law, Securities/SEC, & Financial Institution Law News

Title
Custom text Organization
Mar
10
2021
Misuse of Estate Funds by Executor of an Estate Stark & Stark
Jan
13
2023
Exploring DORA: EU Tightens It Security Rules for The Financial Sector, Targeting "Critical" Third-Party Providers K&L Gates
Aug
27
2024
Latest Round of SEC “Off-Channel” Communications Settlements Highlights Risks for Investment Advisers and Benefits of Self-Reporting Sheppard, Mullin, Richter & Hampton LLP
Feb
5
2013
Private Equity Beware: Securities Exchange Commission (SEC) Official Predicts Increased Scrutiny, Enforcement Action in 2013 Neal, Gerber & Eisenberg LLP
Dec
21
2014
SEC Urges Third Circuit to Adopts Its Interpretation of Whistleblower Retaliation Protections Katten
Dec
11
2015
FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck Katten
Jan
18
2018
CFPB Intends To Reconsider Payday Rule Covington & Burling LLP
Jan
10
2019
New York Adopts Amendments Addressing Collection Of Family Member Debts Ballard Spahr LLP
Nov
18
2020
IRS Answers Questions on the SECURE Act’s Birth and Adoption Distributions for Retirement Plans Foley & Lardner LLP
Aug
25
2023
SEC Finalizes New Data Breach Reporting and Cybersecurity Disclosure Rules; NIST Releases Cybersecurity Framework 2.0 Keller and Heckman LLP
Jun
3
2024
To Self-Disclose or Not Self-Disclose? Thoughts From SEC’s Enforcement Director Barnes & Thornburg LLP
Aug
11
2015
Salvaging Spousal Rollover of Decedent's IRA ArentFox Schiff LLP
Aug
26
2016
SEC Charges 71 Municipal Issuers and Obligated Persons Pursuant to Municipalities Continuing Disclosure Cooperation Initiative Hunton Andrews Kurth
Dec
16
2016
SEC Chair Will Continue to Push Agenda, Despite GOP Requests Covington & Burling LLP
Apr
23
2019
Proposed FDII Regulations under Section 250 Proskauer Rose LLP
Dec
21
2021
Federal Cannabis Reform and SAFE Banking Act Receive Bi-Partisan Support ArentFox Schiff LLP
Jan
12
2024
Maine Law Court Reverses Rule Barring Foreclosure After a Deficient Notice of Default Pierce Atwood LLP
Jun
15
2012
The Euro Crisis: Impacts on Cross-border Contracts McDermott Will & Emery
Nov
9
2017
Illinois lawmakers override governor’s veto of student loan servicing bill Ballard Spahr LLP
Mar
23
2020
Update for Mortgage Lender Operations in California Sheppard, Mullin, Richter & Hampton LLP
Jun
5
2020
ESMA Updates Transparency Opinions, MiFID II Q&As & Clearing Services Commercial Terms Katten
Nov
1
2023
IRS Announces 2024 Employee Benefit Plan Limits McDermott Will & Emery
Jul
31
2017
China’s New Foreign Investment Catalogue Reduces Restrictions, Furthers Nationwide Negative List Approach Covington & Burling LLP
Dec
18
2019
Best Interest Standard of Care for Advisors #21 Faegre Drinker
Jul
10
2013
Federal Reserve Approves Final Basel III Rules Re: Regulatory Capital Reforms ArentFox Schiff LLP
Apr
24
2015
CalPERS Board Member Contests Attorney General’s Conflicts Position Allen Matkins Leck Gamble Mallory & Natsis LLP
May
9
2018
FSCS, changes afoot Squire Patton Boggs (US) LLP
Dec
14
2020
Auditor Receives SEC Whistleblower Award of More Than $300,000 Kohn, Kohn & Colapinto
 
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