Banking & Finance Law

Banking and finance law includes stocks, bonds, and taxation law. A financial law attorney may not be able to provide all the answers for this whole broad range of topics, but will be able to guide you to those who can. A finance lawyer may not be necessary for many people, but a financial attorney who can act as a guide and a fiduciary could be invaluable to those with complex financial portfolios.

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Jeffrey Johnson is a legal writer with a focus on personal injury. He has worked on personal injury and sovereign immunity litigation in addition to experience in family, estate, and criminal law. He earned a J.D. from the University of Baltimore and has worked in legal offices and non-profits in Maryland, Texas, and North Carolina. He has also earned an MFA in screenwriting from Chapman Univer...

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UPDATED: Feb 18, 2021

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  • Financial law is a broad category of legal practice that includes banking regulation, securities, taxation, and many others.
  • Financial law touches on nearly every aspect of legal practice since payment for lawyers is regulated and lawyers have certain financial duties to clients.
  • Commercial banking is good career path that deals with financial law extensively. Investment banking, stock trading, and many other career paths overlap heavily with finance law.

Financial law is a broad category of legal practice. The overlap between law and finance is broad. Banking and securities and different types of financial institutions are heavily regulated, which means that there are a lot of laws that must be adhered to by banks and financial entities.

In addition, financial law includes law concerning taxation and brokerage. It may seem like financial law is rarely if ever going to have an impact on the average person, but these laws that may be written with giant commercial banks in mind are binding on your local bank or your accountant too.

If you have concerns about any of the matters that fit under the broad umbrella of financial law, you can learn more about it on or by talking to a financial lawyer. Use our FREE search tool to find an experienced financial attorney near you.

What are securities in finance?

Finance law, like all other areas of law, can be a bit confusing. For example, securities are financial instruments used to raise funds in markets. There are three primary types of securities:

  1. Equity, which means the investor owns a part of the business,
  2. Debt, which means the investor must be repaid with interest, and
  3. Hybrid securities, which combine both of the other types.

However, when you’re dealing with finances you might want security, too. In other words you’ll want to know that your investment is protected, or that your securities have security.

To make matters worse, your financial interest can be described in non-legal terms as a fiduciary interest. In legal terms, however, a fiduciary is a financial professional who must act in a client’s best interest.

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Getting Help

So if you want security for your fiduciary securities you should find a fiduciary to represent your securities. Confused?

Well, that’s okay. Just remember that if someone is a fiduciary they are required to act in the best interest of clients. Your lawyer has ethical and legal obligations to act as a fiduciary in many respects, and once you know that you’re dealing with a fiduciary you can relax a bit.

Still, finance law is complicated and your money is very important. Therefore you should find a good financial attorney to represent your best interests and help you find other professionals you can trust. Start your search for a financial lawyer with our FREE search tool right now.

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Find the right lawyer for your legal issue.

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