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
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
Article
SEC Proposes Custody Rule Modernizations For Investment Advisers And Investment Companies
The SEC has proposed amendments to custody rules under the Investment Advisers Act and Investment Company Act that extend beyond crypto assets to address longstanding practical challenges in traditional finance. These modernizations include eliminating PCAOB supervision requirements for private fund audits, codifying fund-of-funds delivery extensions, clarifying discretionary trading authority for non-DVP transactions, and rewriting broker-dealer custody rules for registered funds.
United States Finance
PR
Proskauer Rose LLP
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Webinars

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Related Country Guides

BR
Banking Regulation
PF
Project Finance

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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Securitization & Structured Finance

Article
LP-Led CFOs: Their Rise And Key Considerations
Collateralized fund obligations (CFOs) have emerged as a sophisticated securitization tool for institutional investors seeking to monetize their private fund portfolios while retaining upside exposure. This analysis examines the unique structural, tax, and regulatory challenges that distinguish LP-led CFO transactions from their GP-led counterparts, revealing why these deals require more extensive preparation and specialized expertise to execute successfully.
United States Finance
D
Dechert
Article
Five Takeaways From The Private Credit Summit – New York
Private credit industry leaders gathered to discuss emerging trends reshaping the market, from investment grade expansion and secondary market growth to strategic consolidation pressures. Key themes included the structural shift toward IG private credit driven by insurance capital and defense spending, the rapid evolution of secondaries and GP stakes solutions, and the nuanced opportunities emerging from software lending amid headline-driven sell-offs.
United States Finance
D
Dechert
Article
The Financing Problem Behind the AI Infrastructure Boom: What Lenders and Sponsors Need to Watch
As AI infrastructure spending surges toward $697 billion in 2026, hyperscalers and compute providers are increasingly turning to debt, structured financing, and GPU-backed collateral to fund expansion. While demand projections remain bullish, a critical timing gap is emerging between capital deployment and cash flow generation, creating significant risks for lenders, sponsors, and operators across the ecosystem.
United States Finance
R
Riveron
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Financial Services

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
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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Commodities/Derivatives/Stock Exchanges

Article
CFTC Seeks Comment On A Tailored Federal Framework For Retail Crypto Trading
On October 5, 2026, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) issued an advance notice of proposed rulemaking (the “ANPRM”) seeking comment on a regulatory framework for retail commodity transactions involving crypto assets subject to Section 2(c)(2)(D) of the Commodity Exchange Act, as amended (the “CEA”) (such transactions, “CTXs”).
United States Finance
ST
Simpson Thacher & Bartlett
Article
Sixth Circuit Narrows Swap Definition And Rejects Preemption Of State Sports-Betting Laws
The Sixth Circuit's decision in KalshiEX LLC v. Schuler examines whether prediction market sports-event contracts qualify as federally regulated "swaps" under the Commodity Exchange Act and whether state gambling laws can restrict them. The ruling deepens a circuit split over derivatives regulation, with different federal courts reaching conflicting conclusions about the same contracts across multiple jurisdictions.
United States Finance
SM
Sheppard, Mullin, Richter & Hampton LLP
Article
Crypto Brief
This weekly digest from Lowenstein Crypto examines four significant regulatory developments shaping the digital asset landscape, including the CFTC's proposed framework for crypto asset transactions, FinCEN's withdrawal of its controversial mixing rule, the IRS's updated safe harbor for staking activities, and ESMA's compliance deadline for stablecoin services. These developments signal evolving regulatory approaches across multiple jurisdictions as authorities work to establish comprehensive oversight of c
United States Finance
LS
Lowenstein Sandler
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Latest Videos

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