Banking & Finance Law

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Overview

In the United States, banking and finance law applies to those individuals and institutions that lend or borrow money. Lenders typically include banks, leasing companies, finance companies and other financial institutions. Borrowers are individuals, corporations, institutions or the government. Because financial transactions touch a broad range of business activities, issues in banking and finance law often intersect with complex business, corporate and real estate law. Significant areas of banking and finance law also include bank regulation, loans, acquisition finance, real estate finance and international banking transactions.

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  • Proposed Rule - Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies

    Securities and Exchange Commission
    Proposed Rule
    Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies
    ,
    34920-34935 [2011-14717]
    SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 240 and 260 [Release Nos. 33-9222; 34-64639; 39-2474; File No. S7-22-11] RIN 3235-AL16 Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies AGENCY: Securities and Exchange Commission. ACTION: Proposed rules. SUMMARY: We are proposing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying... [read document]
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  • Rule - Beneficial Ownership Reporting Requirements and Security-Based Swaps

    Securities and Exchange Commission
    Rule
    Beneficial Ownership Reporting Requirements and Security-Based Swaps
    ,
    34579-34590 [2011-14572]
    SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-64628; File No. S7-10-11] RIN 3235-AK98 Beneficial Ownership Reporting Requirements and Security-Based Swaps AGENCY: Securities and Exchange Commission. ACTION: Final rule; confirmation. SUMMARY: We are readopting without change the relevant portions of Rules 13d-3 and 16a-1. Readoption of these provisions will preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based... [read document]
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  • Rule - Whistleblower Provisions of the Securities Exchange Act

    Securities and Exchange Commission
    Rule
    Whistleblower Provisions of the Securities Exchange Act
    ,
    34300-34384 [2011-13382]
    Vol. 76 Monday, No. 113 June 13, 2011 Part II Securities and Exchange Commission 17 CFR Parts 240 and 249 Securities Whistleblower Incentives and Protections; Final Rule Federal Register / Vol. 76 , No. 113 / Monday, June 13, 2011 / Rules and Regulations SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240 and 249 [Release No. 34-64545; File No. S7-33-10] RIN 3235-AK78 Securities Whistleblower Incentives and Protections AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Final... [read document]
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  • Proposed Rule - Credit Risk Retention

    Federal Deposit Insurance Corporation
    Proposed Rule
    Credit Risk Retention
    ,
    34010-34011 [2011-14444]
    DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency 12 CFR Part 43 [Docket No. OCC-2011-0002] RIN 1557-AD40 FEDERAL RESERVE SYSTEM 12 CFR Part 244 [Docket No. 2011-1411] RIN 7100-AD 70 FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 373 RIN 3064-AD74 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 246 [Release No. 34-64603; File No. S7-14-11] RIN 3235-AK96 FEDERAL HOUSING FINANCE AGENCY 12 CFR Part 1234 RIN 2590-AA43 DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 24 CFR Part 267... [read document]
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  • Proposed Rule - Credit Risk Retention

    Federal Reserve System
    Proposed Rule
    Credit Risk Retention
    ,
    34010-34011 [2011-14444]
    DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency 12 CFR Part 43 [Docket No. OCC-2011-0002] RIN 1557-AD40 FEDERAL RESERVE SYSTEM 12 CFR Part 244 [Docket No. 2011-1411] RIN 7100-AD 70 FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 373 RIN 3064-AD74 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 246 [Release No. 34-64603; File No. S7-14-11] RIN 3235-AK96 FEDERAL HOUSING FINANCE AGENCY 12 CFR Part 1234 RIN 2590-AA43 DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 24 CFR Part 267... [read document]
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