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 Proposes Amendments Addressing Retailization; Modernizing Regulated Funds And Performance-Based Compensation
The SEC has proposed sweeping amendments that would fundamentally reshape how business development companies, interval funds, and other regulated funds operate, including new pathways for performance-based compensation, expanded share class flexibility, and modernized liquidity requirements. These changes aim to facilitate retail investor access to private markets while providing fund sponsors with greater structural and economic flexibility in portfolio construction and distribution models.
United States Finance
MB
Mayer Brown
Article
State Financial Regulators Release AI Supervisory Framework
The Conference of State Bank Supervisors has released a comprehensive AI Supervisory Framework designed to guide state examiners in assessing artificial intelligence use at financial institutions. This framework provides a detailed roadmap covering governance, risk management, and examination procedures, with particular emphasis on generative and agentic AI applications. Financial institutions should consider using this framework proactively to evaluate their AI readiness and prepare for regulatory examinat
United States Finance
S
Steptoe LLP
Article
CSBS Releases Artificial Intelligence Supervisory Framework: What Financial Institutions Should Know
The Conference of State Bank Supervisors has released a new Artificial Intelligence Supervisory Framework that provides state regulators with a comprehensive roadmap for evaluating how financial institutions deploy and manage AI systems. This examiner guide emphasizes risk-based governance, enterprise-wide AI inventories, and heightened scrutiny of generative and agentic AI technologies, while maintaining that existing consumer protection and safety obligations remain fully applicable to AI-enabled decision
United States Finance
MV
Moore & Van Allen
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Banking Regulation
PF
Project Finance

Capital Adequacy/BASEL

Article
State Financial Regulators Release AI Supervisory Framework
The Conference of State Bank Supervisors has released a comprehensive AI Supervisory Framework designed to guide state examiners in assessing artificial intelligence use at financial institutions. This framework provides a detailed roadmap covering governance, risk management, and examination procedures, with particular emphasis on generative and agentic AI applications. Financial institutions should consider using this framework proactively to evaluate their AI readiness and prepare for regulatory examinat
United States Finance
S
Steptoe LLP
Article
Pledging Collateral For Affiliate Borrowings: A “Guarantee” In Disguise Under Reg W?
When a bank pledges its own collateral to secure an affiliate's borrowing from a third-party lender, does this arrangement constitute a guarantee under Regulation W? The Federal Reserve's interpretation treats such pledges as covered transactions, with specific measurement rules that reflect the bank's actual exposure. Understanding how to properly classify and measure these arrangements is essential for compliance with quantitative limits.
United States Finance
DM
Duane Morris LLP
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Fund Management/ REITs

Article
SEC Proposes Amendments Addressing Retailization; Modernizing Regulated Funds And Performance-Based Compensation
The SEC has proposed sweeping amendments that would fundamentally reshape how business development companies, interval funds, and other regulated funds operate, including new pathways for performance-based compensation, expanded share class flexibility, and modernized liquidity requirements. These changes aim to facilitate retail investor access to private markets while providing fund sponsors with greater structural and economic flexibility in portfolio construction and distribution models.
United States Finance
MB
Mayer Brown
Article
SEC Proposes To Significantly Expand Performance Fee Eligibility
The SEC has proposed sweeping changes to performance fee rules that would allow all regulated funds—including mutual funds and ETFs—to charge performance fees on capital gains and appreciation, while simultaneously expanding access by redefining who qualifies as eligible to pay such fees. The proposal introduces a 20% cap on performance fees, new governance requirements, and enhanced disclosure obligations that could fundamentally reshape how investment advisers structure compensation arrangemen
United States Finance
D
Dechert
Article
BDC Facts & Stats 2026
Business development companies (BDCs) have become a critical financing source for private equity-backed small- and middle-market companies while offering investors attractive private credit exposure. As the BDC market matures, sponsors and investors are increasingly exploring alternative structures, joint ventures with institutional investors, and evolving co-investment arrangements. The regulatory landscape continues to shift with proposed SEC rulemakings that could expand retail access to private markets
United States Finance
MB
Mayer Brown
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Listing Rules & Flotation

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.
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
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Financial Services

Article
SEC Proposes Amendments Addressing Retailization; Modernizing Regulated Funds And Performance-Based Compensation
The SEC has proposed sweeping amendments that would fundamentally reshape how business development companies, interval funds, and other regulated funds operate, including new pathways for performance-based compensation, expanded share class flexibility, and modernized liquidity requirements. These changes aim to facilitate retail investor access to private markets while providing fund sponsors with greater structural and economic flexibility in portfolio construction and distribution models.
United States Finance
MB
Mayer Brown
Podcast
The Supreme Court Opinions In Trump v. Slaughter And Trump v. Cook: What Do They Mean For The Future Of The Administrative State? (Podcast)
The Supreme Court's June 2026 decisions in Trump v. Slaughter and Trump v. Cook have created a constitutional crossroads for federal agencies and presidential power. Professor Lev Menand of Columbia Law School joins the Consumer Finance Monitor podcast to examine whether these seemingly contradictory rulings establish meaningful protections for independent agencies like the Federal Reserve, or whether they signal a fundamental restructuring of the administrative state that will reshape financial regulation
United States Government
BS
Ballard Spahr LLP
Article
State Financial Regulators Release AI Supervisory Framework
The Conference of State Bank Supervisors has released a comprehensive AI Supervisory Framework designed to guide state examiners in assessing artificial intelligence use at financial institutions. This framework provides a detailed roadmap covering governance, risk management, and examination procedures, with particular emphasis on generative and agentic AI applications. Financial institutions should consider using this framework proactively to evaluate their AI readiness and prepare for regulatory examinat
United States Finance
S
Steptoe LLP
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Latest Videos

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