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
Feb
26
2019
FTC Sends 2018 Annual ECOA Report to CFPB Ballard Spahr LLP
Oct
14
2021
SEC Begins New Fiscal Year with Multiple Whistleblower Awards Kohn, Kohn & Colapinto
May
22
2024
House Democrats Initiate Probe of Anti-ESG Investment Guidelines Issued by Conservative States Mintz
Jan
29
2016
CFTC Approves Registration to 18 Swap Execution Facilities Katten
May
27
2016
Agencies Issue Guidance on Deposit-Reconciliation Practices Katten
Oct
18
2018
Report Issued On Two-For-One Executive Order, But What About The SEC? Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
16
2021
New York City Council Approves Bill Requiring Including Salary Ranges in Job Postings Proskauer Rose LLP
Jun
29
2022
Want to File a Mechanics’ Lien in California? Here’s What You Can (and Can’t) Include Bradley Arant Boult Cummings LLP
Aug
18
2023
Compliance Guidelines for the New York Commercial Finance Disclosure Law (CFDL) Norris McLaughlin P.A.
Oct
24
2011
Investment Advisers - NASAA Issues Report on Issues Found in Investment Advisers Exams Greenberg Traurig, LLP
Sep
13
2012
UK’s Top Antitrust Regulator Issues New Fines Guidance: Penalties to Better Reflect the Impact of Relevant Conduct McDermott Will & Emery
Nov
1
2014
Agencies Request Comment on Proposed Flood Insurance Rule Katten
Sep
21
2015
Wealth Management Update: September 2015 Proskauer Rose LLP
Jun
26
2018
SEC Staff Issues No-Action Letter Permitting Temporary Hold on Disbursement of Redemption Proceeds from Direct-at-Fund Accounts to Protect against Financial Exploitation of Seniors and Other Vulnerable Investors Vedder Price
Jun
26
2020
Volcker 3.0: The Agencies Relax the Volcker Rule Requirements for Securitizations and Foreign Funds and Grant New Exemptions from the Covered Fund Restrictions Cadwalader, Wickersham & Taft LLP
Apr
7
2023
Oh, Those Disqualified Lender Lists... Cadwalader, Wickersham & Taft LLP
Feb
21
2018
U.S. Budget Act and Retirement Plans Squire Patton Boggs (US) LLP
Oct
11
2019
SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment and Approval Procedure Katten
May
5
2020
German Federal Constitutional Court Judgment of 5 May 2020 Prohibits Bundesbank from Participating in ECB’s Public Sector Asset Purchase Programme Squire Patton Boggs (US) LLP
Oct
19
2020
Sustainable Finance: Green Loans and Sustainability-Linked Loans Bracewell LLP
Jan
6
2023
NYDFS Proposes Significant Changes to Its Cybersecurity Regulation Greenberg Traurig, LLP
Jun
1
2017
Supreme Court Holds Hague Service Convention Does Not Prohibit Service of Process Abroad by Mail Mintz
Jan
31
2020
Commentary on the Final Opportunity Zone Regulations Polsinelli PC
Dec
30
2013
Senate Finance Committee Proposes Overhaul of Renewable Energy Tax Incentives for Electricity and Fuel Production Godfrey & Kahn S.C.
Oct
13
2016
SEC Continues Enforcement Push as Outlined in its Announcement of FY 2016 Statistics Greenberg Traurig, LLP
Oct
15
2021
Highlights from SEC Speaks 2021 Chair/Commissioner Remarks and Litigation and Enforcement Trends Vedder Price
Apr
6
2013
Consumer Financial Protection Releases Public Complaint Database Katten
Aug
13
2013
Technology: The Legal Issues of Advertising Online and Through Social Media Neal, Gerber & Eisenberg LLP
 

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