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
15
2019
SEC Adopts Modernization And Simplification Of Regulation S-K McDermott Will & Emery
Dec
4
2019
Finishing the Job: The Importance of Domesticating a Foreign Judgment Ward and Smith, P.A.
Feb
10
2022
SEC Proposes Significant Money Market Fund Reforms Vedder Price
Mar
30
2023
Staff Provides Legend Alternative for Non-transparent ETFS Short on Ad Space K&L Gates
Dec
27
2012
I'm Divorced, Now What? Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Jul
21
2015
Opposition to the Uniform Fiduciary Access to Digital Assets Act Holland & Hart LLP
Jul
25
2016
Bridging the Week: New Clearing Member Category; Above the Law; MF Global; FX Trading Front Running; Deliveries; EFRPs [VIDEO] Katten
Aug
2
2019
New Jersey Court Brings ‘Clarity and Uniformity’ to Analysis of Restrictive Covenants Jackson Lewis P.C.
Jul
23
2020
W&I Insurance: Changes, Impact and Opportunities for Investors Resulting from COVID-19 (Part 2) [PODCAST] Proskauer Rose LLP
Jun
9
2021
A Step Towards Clarity? The NYC Bar Compliance Committee Seeks to Set Forth Guidance on Bringing Enforcement Action Against Chief Compliance Officers Epstein Becker & Green, P.C.
Sep
1
2021
Following Hurricane Ida, Louisiana Department of Revenue Grants Automatic Filing and Payment Extensions for Tax Returns and Payments with Original or Extended Due Dates on August 31, 2021 Jones Walker LLP
Apr
11
2012
New Title Insurance Designed Specifically for Energy Projects McDermott Will & Emery
Feb
26
2014
Federal Energy Regulatory Commission (FERC) Responds to Barclays Motion to Dismiss as Without Merit and so Aggressive That if Granted it Could “Eviscerate” FERC’s Ability to Regulate Wholesale Power Markets Bracewell LLP
Apr
1
2015
California Court Severs Term But Otherwise Enforces Arbitration Provision With A Class Action Waiver Sheppard, Mullin, Richter & Hampton LLP
Apr
11
2018
New Record for Dodd-Frank Whistleblowers – Employment Law This Week [VIDEO] Epstein Becker & Green, P.C.
Apr
16
2020
CFPB Issues Statement on FCRA in Light of CARES Act Womble Bond Dickinson (US) LLP
May
22
2020
COVID-19: Senior Officials Comment on the Current State of Enforcement, Expectations, and Context Considerations During the COVID-19 Pandemic K&L Gates
Mar
6
2011
Witness Says He Rigged Bids in Property Tax Lien Auctions in Maryland Center for Public Integrity
Mar
13
2020
UK Budget 2020 Proskauer Rose LLP
May
17
2024
CFPB Sues Fintech for Deceptive Practices Surrounding Tipping Service Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2020
ESMA Renews 0.1 percent Reporting Requirement of Net Short Positions in EU Issuers Katten
Oct
24
2023
The Validity of More Than a Decade’s Worth of Federal Regulations Are at Stake as the U.S. Supreme Court Decides the Constitutionality of the Consumer Financial Protection Bureau’s Funding Structure Epstein Becker & Green, P.C.
Feb
26
2024
Anticipated Tightened Data Privacy Regulations: Raid on Worldcoin K&L Gates
Jun
13
2013
IRS Decision on Florida Community Development Districts: Commercial Is Out; Residential May Be In Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Nov
18
2015
Is There A State Role For Binary Option Regulation? Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
17
2019
Kraninger Outlines Approach to CFPB Authority in Bipartisan Policy Center Remarks Ballard Spahr LLP
Dec
6
2019
FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume Katten
Feb
11
2022
SEC Proposes Cybersecurity Regulations for Advisers and Funds Squire Patton Boggs (US) LLP
 

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