Finance Law and Banking Law

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.
Article
California AB 2116: Licensing Requirements Extended To Small Business Commercial Financing Providers Including Factoring Companies; Unlicensed Agreements Are Unenforceable
California's Assembly Bill 2116 introduces sweeping changes to commercial financing regulation, requiring licenses for providers and brokers serving small businesses starting in 2028. The law establishes unprecedented enforceability consequences for unlicensed activity and extends licensing requirements to factoring companies for the first time, fundamentally reshaping the commercial finance landscape.
United States Finance
DLA Piper
Article
Financial Markets And Funds Quick Take | Issue 54
Katten's Financial Markets and Funds Quick Take delivers monthly insights on regulatory developments reshaping broker-dealer enforcement, prediction markets, derivatives frameworks, tax-efficient investing structures, and AI's expanding role in financial services. This edition examines FINRA's transparency reforms, the CFTC's new guardrails on mention markets, the maturation of insurance-dedicated separately managed accounts, and the FCA's evolving cryptoasset and non-financial misconduct regimes.
United States Finance
KM
Katten Muchin Rosenman LLP
Article
Dechert Files Comment Letter In Response To NAIC's Proposal For Multi-Collateral Structured Credit Investments
On October 2, 2026, Dechert submitted a comment letter to the NAIC's Statutory Accounting Principles (E) Working Group on Agenda Item 2026-10, proposing amendments to SSAP No. 26 (Bonds) that introduce a self-liquidation test and an embedded Asset-Liability Management (ALM) risk test under the Principles-Based Bond Definition. This has to do with the treatment of Multi-Collateral Structured Credit Investments—although it could potentially sweep up a lot more.
United States Finance
D
Dechert
Article
SEC Proposes Amendments To Expand Retail Access To Private Markets
The U.S. Securities and Exchange Commission has proposed significant amendments to expand retail investor access to private market strategies through regulated fund structures. These proposals would allow registered investment advisers to receive performance-based compensation from regulated funds and modernize the interval fund framework while permitting multiple share classes for closed-end funds and BDCs. Will these changes democratize access to private equity, hedge fund, and venture capital strategies
United States Finance
GT
Greenberg Traurig, LLP
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Webinars

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BR
Banking Regulation
PF
Project Finance

Leasing

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Listing Rules & Flotation

Article
Nasdaq Eliminates Sub-$4 Initial Listing Path On The Nasdaq Capital Market
Nasdaq has proposed eliminating its Alternative Price Requirement, which currently allows companies to list on the Nasdaq Capital Market at prices between $2 and $4 under certain conditions. The rule change would establish a uniform $4 minimum price requirement for all initial listings, aligning Nasdaq with other national securities exchanges after NYSE American removed its own sub-$4 listing option in March 2026.
United States Finance
MB
Mayer Brown
Article
Client Update: Recent SEC Updates Affecting Foreign Private Issuers
The SEC's 2026 regulatory agenda signals potential reforms to Foreign Private Issuer eligibility requirements, while Nasdaq's expansion to 23-hour trading creates new disclosure timing challenges that may not align with EDGAR's limited operating hours. These developments, combined with a stayed $5 million market value delisting requirement, present material compliance and strategic considerations for companies navigating U.S. capital markets.
United States Commercial
SC
Shibolet & Co.
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Debt Capital Markets

Article
The Financing Problem Behind the AI Infrastructure Boom: What Lenders and Sponsors Need to Watch
As AI infrastructure spending surges toward $697 billion in 2026, hyperscalers and compute providers are increasingly turning to debt, structured financing, and GPU-backed collateral to fund expansion. While demand projections remain bullish, a critical timing gap is emerging between capital deployment and cash flow generation, creating significant risks for lenders, sponsors, and operators across the ecosystem.
United States Finance
R
Riveron
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Project Finance/PPP & PFI

Video
Building Resilience Through Infrastructure Investment (Video)
As climate-related risks intensify and infrastructure demands grow, how can resilience infrastructure strengthen economies and communities? This discussion examines the distinction between resilience infrastructure and resilient infrastructure, exploring investment opportunities in emerging markets and the role of blended finance in unlocking institutional capital. The conversation delves into key considerations for investors and the future of resilience-focused infrastructure development.
United States Energy
KL
Herbert Smith Freehills Kramer LLP
Article
From Legislation To Implementation: Arizona’s SAID Act Takes Effect
Arizona's new State Affordability Infrastructure District framework becomes operational on September 14, creating unprecedented opportunities for developers to finance public infrastructure through a statewide vehicle. As the first formation petitions are prepared, critical decisions about district boundaries, financing structures, and bond capacity will determine the success of projects across the state.
United States Finance
TS
Taft Stettinius & Hollister
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