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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.

UK Ring-fencing Reform: Why The Ring-fence Should Be Recalibrated, And How

Ring-fencing was a key component of the UK's response to the financial crisis of 2008–2009. As has been widely acknowledged...

United States Finance

AO

A&O Shearman

Digital Asset Exchange Receives CFTC Approval For US Prediction Markets, Signaling An Opportunistic Outlook

On December 10, 2025, Gemini Space Station, Inc. (NASDAQ:GEMI) announced that the Commodity Futures Trading Commission ("CFTC")...

United States Finance

SM

Sheppard Mullin Richter & Hampton

A Leaner CAT For 2026: SEC Mulls Proposed $55–$73 Million Cost Reduction

After years of concern over the cost of the consolidated audit trail (CAT), Consolidated Audit Trail, LLC (CAT LLC) proposed a sweeping amendment that could reduce annual CAT...

United States Finance

KM

Katten Muchin Rosenman LLP

CFTC Issues No‑Action Relief Easing Registration Requirements For Private Fund Managers

On December 19, 2025, the Commodity Futures Trading Commission (the "CFTC") issued a no‑action letter (the "No‑Action Letter") that permits many private fund managers...

United States Finance

PR

Proskauer Rose LLP

New York FAIR Business Practices Act Bolsters State's Consumer Protection Framework

United States Finance

WS

Winston & Strawn LLP

Ohio Walks Back Prior Small Loan Act Guidance, Eases Licensing Position For Bank Partnerships

United States Finance

MB

Mayer Brown

Ohio Walks Back Prior Small Loan Act Guidance, Eases Licensing Position For Bank Partnerships

United States Finance

MB

Mayer Brown

Illinois Revamps The Scope Of Its Collection Agency Licensing Law

United States Finance

MB

Mayer Brown

CFPB Restores And Enhances 2020 Interpretation That Earned Wage Access Is Not "Credit"

United States Finance

DW

Davis Wright Tremaine

Illinois Revamps The Scope Of Its Collection Agency Licensing Law

United States Finance

MB

Mayer Brown

District Court Refuses To Modify Preliminary Injunction Against CFPB While Clarifying That CFPB Is Not Precluded From Requesting Operating Funds From Fed Because Of Fed's Losses

United States Finance

BS

Ballard Spahr LLP

Asset-Level Eligibility Series: "Eligible To Be Sold" & Transferability Restrictions

United States Finance

MB

Mayer Brown

State AGs File Suit To Force CFPB To Request Funding From The Federal Reserve

United States Finance

BS

Ballard Spahr LLP

Significant 2025 Deregulatory Developments In Banking Law (Podcast)

United States Finance

BS

Ballard Spahr LLP

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Webinars

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20 Jan 2026 | 3:00 PM

2026 Canadian In-House Counsel Report: Unparalleled Insights into Canada's In-House Profession from CBA In-House Lawyers

TC

CBA In-House Lawyers

Recorded on 9 Jul 2025 | 2:00 PM

Digital Assets – Innovation vs Compliance: Emerging Offshore Jurisdictional Trends – How Legal Advisers' Roles Will Change

W

Walkers

Recorded on 24 Jun 2025 | 3:00 PM

(2nd Session) 2025 Global In-House Counsel Survey Report: Unique Insights into the Global In-House Counsel Profession

IC

In-House Counsel Worldwide

Recorded on 24 Jun 2025 | 9:00 AM

(1st Session) 2025 Global In-House Counsel Survey Report: Unique Insights into the Global In-House Counsel Profession

IC

In-House Counsel Worldwide

Related Country Guides

Banking Regulation

Project Finance

Commodities/Derivatives/Stock Exchanges

Digital Asset Exchange Receives CFTC Approval For US Prediction Markets, Signaling An Opportunistic Outlook

On December 10, 2025, Gemini Space Station, Inc. (NASDAQ:GEMI) announced that the Commodity Futures Trading Commission ("CFTC")...

United States Finance

SM

Sheppard Mullin Richter & Hampton

CFTC Issues No‑Action Relief Easing Registration Requirements For Private Fund Managers

On December 19, 2025, the Commodity Futures Trading Commission (the "CFTC") issued a no‑action letter (the "No‑Action Letter") that permits many private fund managers...

United States Finance

PR

Proskauer Rose LLP

Back To The Futures: CFTC's No-Action Letter Largely Reinstates 2003's Regulation 4.13(a)(4) On An Interim Basis

In a no-action letter issued on December 19, 2025[1] (NAL), the staff of the Market Participants Division (MPD) of the Commodity Futures Trading Commission (CFTC) reinstated the exemption from commodity pool operator...

United States Finance

PC

Pryor Cashman LLP

CFTC Staff Extends Relief To Certain RIAs Operating Private Commodity Pools

United States Finance

D

Dechert

CFTC No-Action Reinstates Broad Registration Exemption For Institutional CPOs, Pending Further Action

United States Finance

KM

Katten Muchin Rosenman LLP

CFTC Staff Partially Reinstate CPO Exemption For RIAs

United States Finance

MB

Mayer Brown

The CFTC Reinstates Exemption From CPO Registration For Certain Private Fund Managers

United States Finance

KG

K&L Gates LLP

Crypto Investor Protection: SEC And CFTC Enforcement Trends

United States Technology

SH

Scarinci Hollenbeck LLC

Regulatory Reset: CFTC Pulls Back On Guidance For ‘Actual Delivery' Of Digital Assets

United States Finance

B

Benesch Friedlander Coplan & Aronoff LLP

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Asset Finance

U.S. Tax Planning For Israeli Investment In U.S. Real Estate: A Tale Of Scylla And Charybdis

U.S. real estate remains a favored asset class for foreign investment by Israeli residents. With the Israeli shekel currently being relatively strong against the U.S. dollar, investments in the U.S.

United States Real Estate

RP

Ruchelman PLLC

Insights On The NAV Lending Market – Full Year 2023

In the middle of 2023, we conducted an informal, small-scale survey to gather insights from prominent non-bank lenders on their activity in the net asset value (NAV) lending market for the first half of 2023.

United States Finance

PR

Proskauer Rose LLP

Blockchain+ Bi-Weekly

The past two weeks were filled with legislative activity as members of Congress worked to get digital asset legislation through committees prior to Congress going on its August break.

United States Technology

PL

Polsinelli LLP

SEC Adopts Money Market Fund Reforms And Changes To Reporting Requirements For Large Liquidity Fund Advisers

United States Finance

RG

Ropes & Gray LLP

MassMutual Direct Private Investments And MassMutual Asset Finance To Transition To Barings

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Mintz Venture Watch — Volume 2: A Report On Deal Trends From Q3 And Q4 2021

United States Commercial

M

Mintz

NBAA Article Assists Members With Tax Regulations On Meals And Entertainment

United States Transport

HK

Holland & Knight

Sale Or Assignment Of US Government Receivables – FACA Considerations

United States Finance

MB

Mayer Brown

Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct

United States Finance

RG

Ropes & Gray LLP

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Charges, Mortgages, Indemnities

Ohio Walks Back Prior Small Loan Act Guidance, Eases Licensing Position For Bank Partnerships

Around Christmas 2024, the Ohio Division of Financial Institutions ("DFI") left a lump of coal in marketplace consumer lenders' proverbial stockings by issuing guidance that asserted a license...

United States Finance

MB

Mayer Brown

Ohio Walks Back Prior Small Loan Act Guidance, Eases Licensing Position For Bank Partnerships

Around Christmas 2024, the Ohio Division of Financial Institutions ("DFI") left a lump of coal in marketplace consumer lenders' proverbial stockings by issuing guidance that asserted...

United States Finance

MB

Mayer Brown

Illinois Revamps The Scope Of Its Collection Agency Licensing Law

Illinois is making important changes to the scope of the state's Collection Agency Act and the reach of its collection agency licensing obligation.

United States Finance

MB

Mayer Brown

Illinois Revamps The Scope Of Its Collection Agency Licensing Law

United States Finance

MB

Mayer Brown

Instructions For Facilitating A Child's Home Purchase

United States Finance

WD

Wiggin & Dana

Oregon Enters $1.56 Million Consent Order Over Alleged Excessive Interest Charges In Bank Partnership Lending Program

United States Consumer

SM

Sheppard Mullin Richter & Hampton

Today's Podcast Episode: The CFPB's Most Ambitious Regulatory Agenda Ever – Part 2

United States Finance

BS

Ballard Spahr LLP

Cheat Sheet—FCA's New Targeted Support Regime—other Frequently Asked Questions (FAQs)

United States Consumer

AO

A&O Shearman

Mortgage Banking Update - December 18, 2025

United States Finance

BS

Ballard Spahr LLP

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Debt Capital Markets

Illinois Revamps The Scope Of Its Collection Agency Licensing Law

Illinois is making important changes to the scope of the state's Collection Agency Act and the reach of its collection agency licensing obligation.

United States Finance

MB

Mayer Brown

Illinois Revamps The Scope Of Its Collection Agency Licensing Law

Illinois is making important changes to the scope of the state's Collection Agency Act and the reach of its collection agency licensing obligation.

United States Finance

MB

Mayer Brown

CFTC Staff Extends Relief To Certain RIAs Operating Private Commodity Pools

On December 19, 2025, the CFTC staff issued no-action relief to commodity pool operators ("CPOs") registered with the SEC as investment advisers, with respect to the operation of certain commodity pools whose interests are offered solely to "qualified eligible persons" as defined in CFTC Regulation 4.7 ("QEPs").

United States Finance

D

Dechert

CFPB: Earned Wage Products Are Not Loans Under TILA

United States Consumer

SM

Sheppard Mullin Richter & Hampton

CFTC No-Action Reinstates Broad Registration Exemption For Institutional CPOs, Pending Further Action

United States Finance

KM

Katten Muchin Rosenman LLP

Today's Podcast Episode: The CFPB's Most Ambitious Regulatory Agenda Ever – Part 2

United States Finance

BS

Ballard Spahr LLP

Holiday Hours: End Of Year Announcements

United States Commercial

GP

Goodwin Procter LLP

CFTC Relief Eliminates Dual US Regulation Of Certain Investment Managers

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

2026 SEC Filing Deadlines And Financial Statement Staleness Dates

United States Commercial

MB

Mayer Brown

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Latest Videos

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AIFMD 2.0 Digest: What's Next For Non-EU Managers? (Podcast)

PR

Proskauer Rose LLP

Alan Kaplinsky Spotlighted On LexBlog's Real Lawyers Podcast (Video)

BS

Ballard Spahr LLP

Designated Gifts — Honoring Intent, Avoiding Liability (Video)

MB

Michael Best

Elizabeth Shortino Featured In Atlantic Council Panels (Video)

AM

Alvarez & Marsal

Reopening The IPO Window: Insights From The IPO Summit — Silicon Valley Edition (Video)

FL

Foley & Lardner

Upcoming Events

PLI Taxation Of Financial Products And Transactions 2026

KL

Herbert Smith Freehills Kramer LLP

SIFMA’s C&L Society Forum: What’s New At FINRA

W

WilmerHale

Financial Services Regulatory Crystal Ball: Outlook For 2026

HK

Holland & Knight

AUTM Annual Meeting 2026

FH

Finnegan, Henderson, Farabow, Garrett & Dunner, LLP

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