Financial, Securities & Commodity Law | The National Law Review

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.

Date	Title	Organization
18 Sep	SEC and DOJ Bring Parallel Cases Alleging $8 Million Serial Insider-Trading Scheme	Winstead
18 Sep	Iowa Supreme Court Examines Private Sector Drug-Free Workplaces Statute	Ogletree, Deakins, Nash, Smoak & Stewart, P.C.
17 Sep	Unintended Consequences of Wyden's Proposal to Change Tax Treatment for Mutual Funds and ETFs	K&L Gates
17 Sep	The Proposed New EU Regulatory Regime for Artificial Intelligence (AI)	Squire Patton Boggs (US) LLP
17 Sep	Enormous Changes to Estate Tax Planning May Be on the Horizon	Much Shelist, P.C.
17 Sep	SEC Fines App Annie and Its CEO for $10 Million in Connection with Non-Anonymized Data	Mintz
17 Sep	Turbulence Ahead for Boards: Boeing Chancery Court Ruling Increases Focus on Board Oversight of Compliance Programs	Nelson Mullins
17 Sep	SEC Grants $11.5 Million in Awards to Two Whistleblowers	Kohn, Kohn & Colapinto
17 Sep	Biden Administration’s COVID-19 Vaccine Initiative: Preparation. Not Panic.	Barnes & Thornburg LLP
17 Sep	Quite the TCPA Trio: Three New ATDS Cases May Have Just Titled the TCPAWorld in Favor of Text Usage—Once and For All [PODCAST]	Squire Patton Boggs (US) LLP
17 Sep	Environmental Disclosures: Considerations for Board Members	Mintz
17 Sep	SAFE Banking Act of 2021: Where Are We on Cannabis Banking Change?	Sheppard, Mullin, Richter & Hampton LLP
17 Sep	Labor Board General Counsel Mandates More Onerous Unfair Labor Practice Settlement Terms	Jackson Lewis P.C.
17 Sep	Vermont Files Climate Change Lawsuit Against Major Oil Companies	Mintz
17 Sep	Greater Diversity and Inclusion on Listed Company Boards: FCA Proposals	Squire Patton Boggs (US) LLP
17 Sep	A Trademark by Any Other Name: Why the UGG Brand Left Some Australians Saying “Ugh”	Norris McLaughlin P.A.
17 Sep	Congress Considering $700,000 OSHA Penalties	Jackson Lewis P.C.
17 Sep	New York City to Require Food Delivery Services to Share Customer Data with Restaurants	Hunton Andrews Kurth
17 Sep	5 Times a CRM will Save Your Behind	Lawmatics
17 Sep	A (Partial) Phasing Out of the Current Prohibitions on Presenting UK Winding Up Petitions?	Squire Patton Boggs (US) LLP