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.

AIFMD2 Implementation: Key Questions For Private Fund Managers

The journey to implementation of the revised EU's Alternative Investment Fund Managers Directive 2011/61/EU (AIFMD)...

European Union Finance

GP

Goodwin Procter 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

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

Transfer Restrictions In NAV Credit Facilities: Impact On Collateral And Market Solutions

A common hurdle in Net Asset Value (NAV) credit facilities is the presence of transfer restrictions on equity interests.

United States Finance

MB

Mayer Brown

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

United States Finance

KM

Katten Muchin Rosenman LLP

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

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

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

United States Finance

BS

Ballard Spahr LLP

Monitoring The Hormuz Strait And The Subsequent Trade Volatility

United States International

BG

Braumiller Law Group, PLLC

Simpson Thacher Sustainability And ESG: Regulatory Update – March 2026

United States Commercial

ST

Simpson Thacher & Bartlett

New York District Court Affirms Narrow Scope Of "Public Policy Exception" In Chapter 15 Cases

United States Insolvency

JD

Jones Day

Debt's Grip: What Consumer Bankruptcy Reveals About Financial Risk In America (Podcast)

United States Insolvency

BS

Ballard Spahr LLP

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Related Country Guides

Banking Regulation

Project Finance

Capital Adequacy/BASEL

AIFMD2 Implementation: Key Questions For Private Fund Managers

The journey to implementation of the revised EU's Alternative Investment Fund Managers Directive 2011/61/EU (AIFMD)...

European Union Finance

GP

Goodwin Procter LLP

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

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

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Debt Capital Markets

AIFMD2 Implementation: Key Questions For Private Fund Managers

The journey to implementation of the revised EU's Alternative Investment Fund Managers Directive 2011/61/EU (AIFMD)...

European Union Finance

GP

Goodwin Procter LLP

IPO 101: Where To Begin When An Exit Is On The Horizon (Video)

For many private companies that are preparing for an IPO, the conversation often begins with valuation targets and capital strategy, but inside the finance organization...

United States Commercial

R

Riveron

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

United States Commercial

FL

Foley & Lardner

FINRA Proposes Amendments To Communications Rule To Permit Use Of Projections

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

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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

Breaking Up Is Hard To Do: Howey And The SEC's Crypto Asset Classification Guidance

In this client alert, Lewis Rinaudo Cohen, Samson Enzer, Gregory Strong, Gary Kalbaugh, Brian Farber, and Edward Leaf examine the SEC's key positions in an interpretive release titled...

United States Technology

CG

Cahill Gordon & Reindel LLP

The SEC Is Not The 'Securities And Everything Commission' Anymore

On March 17, 2026, the U.S. Securities Exchange Commission ("SEC") with the U.S. Commodity Futures Trading Commission ("CFTC"), issued comprehensive guidance clarifying the application of federal securities...

United States Technology

RD

Riker Danzig LLP

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

IPO 101: Where To Begin When An Exit Is On The Horizon (Video)

United States Commercial

R

Riveron

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

United States Technology

AG

Akin Gump Strauss Hauer & Feld LLP

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

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

Transfer Restrictions In NAV Credit Facilities: Impact On Collateral And Market Solutions

United States Finance

MB

Mayer Brown

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

United States Finance

KM

Katten Muchin Rosenman LLP

See more

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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