United States: Finance and Banking

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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.

The CFTC, Prediction Markets And Event Contracts: Setting The Stage

On March 12, 2026, the CFTC issued an advance notice of proposed rulemaking (the “Request”) seeking public comment on event contracts traded on prediction markets.

United States Finance

D

Dechert

FINRA President And CEO Robert Cook Provides Update On ‘FINRA Forward’ At The SIFMA Compliance & Legal 2026 Annual Conference

Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke at the 2026 SIFMA Compliance & Legal Annual Conference, outlining FINRA's strategic priorities, ongoing initiatives, and the direction of regulatory policy under the "FINRA Forward" agenda.

United States Finance

KM

Katten Muchin Rosenman LLP

NFA Cuts The Red Tape: Non-US Swap Dealers Breathe Easier With Streamlined Cross-Border Amendments

Sometimes the best regulatory changes are the ones that make compliance officers smile — and maybe even leave the office before 7:00 p.m. The National Futures Association (NFA)...

United States Finance

KM

Katten Muchin Rosenman LLP

CFTC Staff Issues FAQs On Crypto Assets, Blockchain Technologies In Derivatives Markets

On March 20, 2026, the Commodity Futures Trading Commission (CFTC)'s Market Participants Division (MPD) and Division of Clearing and Risk issued FAQs clarifying guidance previously provided...

United States Finance

GT

Greenberg Traurig, LLP

California Court Orders CFPB To Continue Requesting Federal Reserve Funding

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

Kansas City Fed Approves Limited Purpose Account For Kraken Financial

United States Finance

GP

Goodwin Procter LLP

Fund Finance: 2026 Market Pulse

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Hart-Scott-Rodino Filings: Everything Old Is New Again, At Least For Now

United States Finance

HK

Holland & Knight

US Banking Regulators Propose Reforms To Capital Requirements

United States Finance

MB

Mayer Brown

SEC Chairman Atkins Outlines Vision And Priorities At SIFMA Compliance And Legal 2026 Annual Conference

United States Finance

KM

Katten Muchin Rosenman LLP

On February 23, 2026, The New York State Department Of Financial Services (NYDFS) Published A Proposed Regulation (The Proposed Regulation) Implementing The State's Buy Now, Pay Later (BNPL) Act

United States Finance

SR

McDermott Will & Schulte

CFTC Takes Additional Steps Toward Prediction Market Regulation: What You Need To Know

United States Finance

CM

Crowell & Moring LLP

The GENIUS Act Arrives And The OCC Is Set To Act

United States Finance

DS

Dinsmore & Shohl

Closing The Loophole – Oregon Takes Aim At Out-of-State Lender Interest Rates

United States Finance

DM

Duane Morris LLP

Federal Circuit: Priority Document That 'Broadly Outlines' Possible Structures Fails To Provide Adequate Written Description Support For Subgenus Of Linkers In Antibody-Drug Conjugate

United States IP

AG

Akin Gump Strauss Hauer & Feld LLP

Back To School 2025: Title IX Updates And How ADR Can Help Universities Resolve Disputes (Podcast)

United States Litigation

J

JAMS

Signed, Sealed, But Not Delivered? Don't Wonder About Taxes Under New Postal Service Rules

United States Tax

N

Nossaman LLP

What Europe's Renewable Energy Struggles Can Teach U.S. Regulators About Dispute System Design

United States Litigation

J

JAMS

Colorado "Opt-Out" Litigation – Petition For Rehearing En Banc And Amicus Briefs In Support

United States Finance

BS

Ballard Spahr LLP

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Related Country Guides

Project Finance

Banking Regulation

Capital Adequacy/BASEL

FinTech Global FS Regulatory Round-up - W/e 13 March 2026

In this edition we round up FinTech-related financial services regulatory developments for the week ending 13 March 2026.

Worldwide Technology

KL

Herbert Smith Freehills Kramer LLP

The GENIUS Act Arrives And The OCC Is Set To Act

Enacted on July 18, 2025, the GENIUS Act is Congress' first comprehensive federal framework for payment stablecoins...

United States Finance

DS

Dinsmore & Shohl

L’explosion des Prediction Markets aux États-Unis : Pourquoi l’Europe ne peut plus traiter ce marché comme une curiosité

Aux États-Unis, les prediction markets — ou marchés prédictifs — reposent sur une idée très simple : acheter et vendre des contrats...

United States Commercial

A

AlixPartners

Max Maisonrouge Contributes To The Bretton Woods Committee's Paper On Tokenized Assets

Worldwide Technology

KM

Katten Muchin Rosenman LLP

Executive Order Seeks To Promote Mortgage Lending By Community And Smaller Banks Through Easing Regulatory Requirements

United States Finance

BS

Ballard Spahr LLP

Implementing The GENIUS Act: The OCC Proposes Comprehensive Rulemaking Governing Payment Stablecoins Issuance

United States Finance

AP

Arnold & Porter

Basel Committee Publishes Report On Synthetic Risk Transfer Markets

Worldwide Finance

JD

Jones Day

Vice Chair Bowman Talks Tailoring

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Regulatory Monitoring: EU Version

European Union Finance

AO

A&O Shearman

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Debt Capital Markets

The Latest Liability Management Technology: Structurally Senior Minority-Owned Joint Venture Financings

Last month, a publicly traded company (the "Company") announced the formation and capitalization of a new joint venture (the "JV") in a deal-away transaction...

United States Strategy

PR

Proskauer Rose LLP

Meritless Lawsuits No Longer Fly Free In Texas

A federal judge in Dallas has dismissed a shareholder derivative suit against Southwest Airlines' board, providing the first meaningful judicial test of Texas Senate Bill 29 (SB 29) and offering...

United States Commercial

FL

Foley & Lardner

FINRA Proposes Amendments To Communications Rule To Permit Use Of Projections

The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently filed with the U.S. Securities and Exchange Commission (“SEC”) proposed amendments (the “Proposed Amendments”) to FINRA...

United States Strategy

MB

Mayer Brown

CFTC Issues Guidance And Advanced Notice Of Proposed Rulemaking Relating To Prediction Markets

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

UK-Based AIFM Regulatory Hosting SEC Compliance Requirements For Serving US Clients

Worldwide Finance

KM

Katten Muchin Rosenman LLP

Private Market Talks: Navigating Market Complexity With Churchill’s Jason Strife (Podcast)

United States Finance

PR

Proskauer Rose LLP

Reading The Tea Leaves: Forthcoming Regulatory Scrutiny Of Prediction Markets

United States Finance

PC

Pryor Cashman LLP

Credit Documentation In Conflict – MAC Clauses And Drawstop Rights In The GCC Loan Market

Worldwide Finance

SP

Squire Patton Boggs LLP

New York City Finalizes SHIELD Debt Collection Rule

United States Consumer

SM

Sheppard, Mullin, Richter & Hampton LLP

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Charges, Mortgages, Indemnities

FTC Seeks Comment On Potential Rule To Address Unfair Or Deceptive Rental Housing Fee Practices

On March 12, 2026, the Federal Trade Commission (FTC) issued an Advanced Notice of Proposed Rulemaking (ANPRM) seeking public comment on a proposed...

United States Finance

GT

Greenberg Traurig, LLP

Massachusetts Settlement Targets Mortgage-Backed "Homeowner Benefit” Agreements

On March 11, Massachusetts Attorney General Andrea Joy Campbell announced a consent order with a real estate-related lender’s subsidiary...

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

APAC Monthly Private Wealth Legal Developments - February 2026

ASIC has released its financial advice update for February 2026, covering the following developments and issues affecting financial advice...

Worldwide Wealth Mgt

KL

Herbert Smith Freehills Kramer LLP

Mortgage Banking Update - March 19, 2026

United States Finance

BS

Ballard Spahr LLP

Mortgage Pre-Approval Letter Misrepresentations May Trigger Chapter 93A Claims

United States Finance

GT

Greenberg Traurig, LLP

Sunsets And Loan Repurchase Provisions

United States Finance

GP

Goodwin Procter LLP

Executive Order Seeks To Promote Mortgage Lending By Community And Smaller Banks Through Easing Regulatory Requirements

United States Finance

BS

Ballard Spahr LLP

New Executive Orders Aim To Promote Access To Mortgage Credit And Expand Construction Of Affordable Homes

United States Real Estate

MB

Mayer Brown

US Senate Advances Housing Legislation That Includes A Ban On Institutional Investors Purchasing Single-Family Homes

United States Real Estate

MB

Mayer Brown

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Financial Services

The Clarity Act Advances Slowly, And The SEC And CFTC Anticipate Passage With A New Interpretation: Some Crypto Offerings Facilitated

There has been movement forward on the Clarity Act, and the SEC and CFTC have anticipated its passage by pre-emptively completing a "memorandum of understanding" that would be required by the Act...

United States Commercial

PR

Proskauer Rose LLP

SEC And CFTC Issue Guidance On The Applicability Of Federal Securities Laws To Crypto Assets And Blockchain Activities

On March 17, 2026, the U.S. Securities and Exchange Commission (SEC) issued an Interpretation (the Interpretation) to clarify the application of the federal securities laws to crypto assets.

United States Technology

AG

Akin Gump Strauss Hauer & Feld LLP

The CFTC, Prediction Markets And Event Contracts: Setting The Stage

On March 12, 2026, the CFTC issued an advance notice of proposed rulemaking (the “Request”) seeking public comment on event contracts traded on prediction markets.

United States Finance

D

Dechert

FINRA President And CEO Robert Cook Provides Update On ‘FINRA Forward’ At The SIFMA Compliance & Legal 2026 Annual Conference

United States Finance

KM

Katten Muchin Rosenman LLP

NFA Cuts The Red Tape: Non-US Swap Dealers Breathe Easier With Streamlined Cross-Border Amendments

United States Finance

KM

Katten Muchin Rosenman LLP

SEC Staff Provides Relief For At-the-Market Offerings Following Loss Of Form S-3 Shelf Eligibility Under Instruction I.B.1.

United States Commercial

D

Dechert

AI Model Validation In Regulated Financial Firms: Supervisory Expectations And Practical Considerations

United States Technology

CG

Cahill Gordon & Reindel LLP

DOL Reinstates Historic “Five-Part” Fiduciary Test

United States Employment

AP

Arnold & Porter

CFTC Staff Issues FAQs On Crypto Assets, Blockchain Technologies In Derivatives Markets

United States Finance

GT

Greenberg Traurig, LLP

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Latest Videos

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Banking Litigation Podcast EP58: Monthly Update – January/February 2026

KL

Herbert Smith Freehills Kramer LLP

Implications Of The CFPB's Proposed Rule Under The Equal Credit Opportunity Act (Podcast)

MB

Mayer Brown

Navigating Compliance Challenges: SEC Exams, Enforcement, Marketing Rule, And AI Trends (Video)

LS

Lowenstein Sandler

The Who, When And How Of The New UK Prospectus And Public Offer Rules From An Equity Perspective (Podcast)

AO

A&O Shearman

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

PR

Proskauer Rose LLP

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