Finance Law

Finance Laws relate to any statutes, policies, regulations, or other forms of rules governing financial transactions in which one party raises money through borrowing, stock sales, bonds, or other means of investment. Examples include antitrust, bankruptcy, and securities laws that protect the financial interests of small businesses and individual investors. These laws may also have an impact on bankruptcy proceedings, particularly for corporate debtors.

Antitrust Laws

Antitrust laws are those laws designed to promote vigorous competition and to protect consumers from anti-competitive market practices. These laws can have relation to finance in situations such as supposed competitors investing in one another or buying another company's stocks in an effort to take over the selling company.

Banking Laws

Banking laws can play a part in finance law with regard to regulations on lending requirements, types of investments in which banks can engage, and reporting requirements related to these investments.

Bankruptcy Laws

Bankruptcy plays a role in finance laws with regard to the way financed debts are protected or discharged in the bankruptcy proceedings.

Securities Laws

Securities laws play a heavy role in finance law. If a business sells publicly traded stocks then it must comply with certain reporting and financial disclosure obligations as required by the Securities and Exchange Commission (SEC). These can include creating disclosures and otherwise complying with the requirements of Sarbanes-Oxley.

There are many other areas of law that relate to financing. To learn more, you can review the materials found on this page, as well as many of the other areas identified under the Law tab on the menu bar. Similarly, if you have questions about finance law and need an attorney, you can find one in your area by visiting our Law Firms page.


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Articles on Related to Finance Law

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    New SEC rules will increase the rules that private fund advisers must follow. Going forward, private fund advisers must provide quarterly statements to investors and an annual financial statement audit of each private fund it advises.
  • SEC Approves Proposed Amendments to Its Customer Protection Rule
    The Securities and Exchange Commission is proposing amendments to its customer protection rule, InvestmentNews reports.
  • SEC Approves Amendments to Bolster Money Market Industry
    The Securities and Exchange Commission has adopted amendments to certain rules governing the money market industry, according to InvestmentNews.
  • Report Finds Sharp Increase in Investment Fraud Cases in 2022
    A new study examines the rise in investment fraud cases and the methods being used to deceive victims, InvestmentNews reports.
  • OFAC Enforcement in 2023: Calculating Civil Penalties
    The Office of Foreign Assets Control (OFAC) has broad enforcement authority under federal law to protect national security. To hold financial institutions, businesses, and individuals accountable for economic sanctions programs violations (such as financial transactions with specially designated nationals(SDN) list and blocked persons list, or those on the sanctions lists) and other statutory and regulatory offenses, OFAC has the power to impose various penalties under its Economic Sanctions Enforcement Guidelines (the “Enforcement Guidelines”). 
  • Choosing a SEC Defense Lawyer: Three Considerations
    You are in shock. You just opened an overnight envelope and discovered that you've received a subpoena from the Securities and Exchange Commission (SEC) requesting documents and requiring you to appear before the SEC for sworn testimony. After the initial panic subsides (a bit), you hit the Internet to search for a SEC defense lawyer to represent you. But, how do you choose amongst the many SEC defense attorneys out there? How do you know who to entrust with such a serious process and so much at stake, including potential fines and reputational damage?
  • 8 Famous U.S. Money-Laundering Cases in 50 Years
    Money laundering is the movement of illicit cash or cash equivalents into, out of, or through U.S. businesses or financial institutions. An example is when unlawfully obtained money is routed through multiple banks and businesses to conceal the original source of those funds.
  • FINRA Notice Warns Firms of Fraudulent Transfers
    The Financial Industry Regulatory Authority issued an alert to member firms regarding fraudulent transfers of customer assets.
  • It Is Now Harder for Brokers to Expunge Records
    The Securities and Exchange Commission (SEC) has approved a proposal that would make it more difficult for brokers to expunge customer disputes from their records, reports Investment News.
  • FINRA Plans at Least 1,000 Reg B1 Exams by End of 2023
    An executive with the Financial Industry Regulatory Authority provided an update on the authority’s plans for this year’s Regulation Best Interest exams, reports Financial Advisor.
  • All Banking and Finance Law Articles

    Articles written by attorneys and experts worldwide discussing legal aspects related to Banking and Finance including: asset protection, capital markets, corporate finance, financial planning, financial services law, investment law, offshore accounts, private equity, project finance, public finance, securities, trade investment and venture capital.

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