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
SEC Grants Petitions For Review Of Nasdaq’s $5 Million MVLS Listing Standard And Extends Review Period For NYSE American’s Proposed $5 Million Average Market Capitalization Requirement
The SEC has granted petitions for review of Nasdaq's $5 million MVLS listing standard, keeping the controversial rule on hold while extending the review period for NYSE American's similar market capitalization requirement. Microcap companies trading near these thresholds face potential delisting consequences if these proposed rule changes are ultimately approved, making it critical to understand the compliance strategies and ongoing regulatory developments.
United States Finance
B
Bevilacqua
Article
Establishing Control: How Financial Services Companies Build AI Governance That Gets AI Into Production
Financial services firms, healthcare organizations, and businesses across industries are investing heavily in AI and data analytics, yet many struggle to translate these investments into measurable returns. The gap between AI ambition and execution often begins with governance, workforce readiness, and the ability to turn insights into actionable business outcomes.
United States Finance
AC
Ankura Consulting Group LLC
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Article
In-Transit Inventory and Electronic Bills of Lading: A Practical Guide for ABL Lenders
Asset-based lending against in-transit inventory presents unique legal challenges as lenders navigate UCC Article 7 requirements, negotiable documents of title, and the emerging landscape of electronic bills of lading. This analysis examines how ABL lenders can structure security interests to protect their position when goods are moving through the supply chain, from traditional paper documentation to modern electronic platforms.
United States Finance
MB
Mayer Brown
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Article
Collateral Sales Under Article 9: Lessons For Partner Loan And Investor Loan Programs
A federal court decision clarifies critical enforcement rights under UCC Article 9 for lenders in partner and investor loan programs, addressing the 10-day notice safe harbor, commercial reasonableness standards, and timing requirements for collateral disposition notices. The ruling provides essential guidance on foreclosure procedures when limited partnership interests serve as loan collateral.
United States Finance
MB
Mayer Brown
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Article
California OHCA Issues Final Regulations Implementing Expanded Health Care Transaction Review Requirements For Private Equity, Hedge Funds, And MSOs
On Friday, California Office of Health Care Affordability (“OHCA”) published proposed final regulations that implement a 2026 law that significantly expanded OHCA’s review authority over health care transactions involving private equity (“PE”) groups, hedge funds, and management services organizations (“MSOs”). Stakeholders involved in California health care transactions should re-assess whether their ongoing or contemplated transactions are implicated by these regulations, because newly covered transactions will need to comply with the 90-day advance notice requirement established in the original OHCA regulations.
United States Healthcare
ST
Simpson Thacher & Bartlett
Article
The Ordinary Course Of Business Defense In A Bankruptcy Preference Action
In bankruptcies, a debtor or trustee may claw back legitimate payments the debtor made to its creditors within 90 days prior to filing of bankruptcy. In general terms, a preference claim is a transfer made (a) to or for the benefit of a creditor; (b) for or on account of antecedent debt owed by the debtor; (c) while the debtor was insolvent (liabilities exceed assets); (d) within 90 days before the bankruptcy petition was filed or one year if made to an insider; (e) such that it allows the creditor to receive more than it would have received if the debtor had not made the payment and the claim was paid through the bankruptcy process.
United States Insolvency
CT
Cowles & Thompson, PC
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