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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.

Saw This Coming: FINRA Proposes Rule Change To Permit Projected Performance

Everyone wants to know what tomorrow will bring, and FINRA has proposed amendments to Rule 2210 (Proposed Amendments) that would give broker-dealers more flexibility to communicate exactly that – at least as it relates to projected performance and targeted returns.

United States Finance

KG

K&L Gates LLP

Senator Warren Presses CFPB Acting Director Over Credit Card Fees And Agency Retrenchment

Senator Elizabeth Warren has sent a sharply worded letter to CFPB Acting Director Russell Vought that crystallizes an unusual moment in consumer financial services regulation...

United States Finance

BS

Ballard Spahr LLP

SDNY US Attorney Clayton Cautions Enforcement Activity Could Be Coming To Prediction Markets

Prediction markets have drawn increased attention from both market participants and regulatory bodies, as trading volumes on these platforms have reached new highs.

United States Finance

KM

Katten Muchin Rosenman LLP

Banking And Business – February 2026

Beginning March 1, 2026, new federal regulations issued by the Financial Crimes Enforcement Network (FinCEN) will significantly affect how certain residential real estate closings are handled.

United States Finance

LL

Lavelle Law

New York Court Draws Limits To Encroachment On Sacred Rights In STG Logistics

United States Finance

MB

Mayer Brown

US Fund Managers: Structuring Considerations For Dutch Investors In A Luxembourg Fund – New York Office Snippet

United States Finance

LL

Loyens & Loeff

FDIC Board Approves Final Rule To Amend Official Signs And Advertising Requirements

United States Finance

GP

Goodwin Procter LLP

Considerations In Continuation Vehicle Transactions

United States Finance

MB

Mayer Brown

Fitting Private Markets Into 401(k) Plans (Podcast)

United States Finance

GP

Goodwin Procter LLP

2026 FFA Annual Conference Recap

United States Finance

LL

Loeb & Loeb LLP

SEC Watch: Monthly Takeaways For Asset Managers - February 2026

United States Finance

ST

Simpson Thacher & Bartlett

Today's Podcast Episode: Debt's Grip: What Consumer Bankruptcy Reveals About Financial Risk In America

United States Finance

BS

Ballard Spahr LLP

CFPB Private Education Loan Ombudsman Receives Record Number Of Complaints

United States Finance

BS

Ballard Spahr LLP

FinReg Monthly Update - January 2026

Worldwide Finance

PR

Proskauer Rose LLP

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Webinars

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Recorded on 20 Jan 2026 | 3:00 PM

2026 Canadian In-House Counsel Report: Unparalleled Insights into Canada's In-House Profession from CBA In-House Lawyers

TC

CBA In-House Lawyers

Recorded on 9 Jul 2025 | 2:00 PM

Digital Assets – Innovation vs Compliance: Emerging Offshore Jurisdictional Trends – How Legal Advisers' Roles Will Change

W

Walkers

Recorded on 24 Jun 2025 | 3:00 PM

(2nd Session) 2025 Global In-House Counsel Survey Report: Unique Insights into the Global In-House Counsel Profession

IC

In-House Counsel Worldwide

Recorded on 24 Jun 2025 | 9:00 AM

(1st Session) 2025 Global In-House Counsel Survey Report: Unique Insights into the Global In-House Counsel Profession

IC

In-House Counsel Worldwide

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Project Finance

Banking Regulation

Commodities/Derivatives/Stock Exchanges

FDIC Board Approves Final Rule To Amend Official Signs And Advertising Requirements

Welcome to Goodwin's Financial Services News Roundup. Our newsletter highlights important legal, regulatory, and business developments related to financial services and banking.

United States Finance

GP

Goodwin Procter LLP

Weekly Blockchain Blog – Feburary 9, 2026

Fireblocks, a major blockchain infrastructure platform, recently announced "the integration of the Canton Network, the privacy-enabled open blockchain network, purpose-built for institutional finance."

United States Technology

B

BakerHostetler

Still No Certainty In Forum Selection For Derivative Litigation

Issuers facing threats of securities litigation have been trying to obtain as much certainty as possible concerning their potential exposure in such lawsuits for years.

United States Commercial

KM

Katten Muchin Rosenman LLP

A Market That Never Sleeps: NYSE Enters The Blockchain Era With 24/7 Trading

United States Technology

LB

Lewis Brisbois Bisgaard & Smith LLP

CFTC Issues No-action Relief For Private Fund Managers Pending Potential Reinstatement Of Significant CPO Registration Exemption

United States Finance

AO

A&O Shearman

SEC And CFTC Announce Joint 'Project Crypto' Initiative At Historic Harmonization Event

United States Finance

KM

Katten Muchin Rosenman LLP

From Gaming To Governance: An Early Primer On Rules And Risks For Prediction Platforms

United States Finance

KG

K&L Gates LLP

Financial Markets Outlook: UK And EU Regulatory Priorities And Timelines For 2026

Worldwide Finance

AO

A&O Shearman

Predicting The Future Of Prediction Markets

United States Finance

KG

K&L Gates LLP

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Listing Rules & Flotation

Nasdaq Proposes Stricter Initial And Continued Listing Standards

The Nasdaq Stock Market LLC ("Nasdaq") recently proposed modifications to its initial and continued listing standards ("Proposed Listing Standards").

United States Finance

D

Dechert

SEC Approves TXSE As National Securities Exchange

On September 30, 2025, Texas Group Inc. ("TXSE Group") announced that it has received formal approval of its Form 1 Registration Statement from the U.S. Securities and Exchange Commission...

United States Finance

JD

Jones Day

Ambush At The AGM – Notice Requirements For Listed Companies In The Digital Age

With a significant proportion of companies listed on the Hong Kong Stock Exchange incorporated in the Cayman Islands and approximately 223 Cayman-incorporated...

United States Commercial

BP

Baker & Partners

Considering A U.S. Listing? What Asian Issuers Should Know

Worldwide Commercial

LL

Loeb & Loeb LLP

London Stock Exchange Discussion Paper – Shaping The Future Of AIM

United States Commercial

BC

Bryan Cave Leighton Paisner

Nasdaq And NYSE Target Excessive Reverse Stock Splits Used To Regain Compliance With Minimum Security Price Requirements

United States Commercial

FH

Foley Hoag LLP

2024-2025 Developments Regarding NYSE And Nasdaq Listing Rules

United States Commercial

CG

Cahill Gordon & Reindel LLP

Nasdaq Listing Fee Changes

United States Finance

GP

Goodwin Procter LLP

EU Listing Act Podcasts

United States Finance

AO

A&O Shearman

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Debt Capital Markets

2026 FFA Annual Conference Recap

Loeb sent its largest team yet to the 2026 Fund Finance Association's (FFA's) annual conference, and we weren't alone, as the 3000+ attendees set a new record in the conference's 15th edition.

United States Finance

LL

Loeb & Loeb LLP

Today's Podcast Episode: Debt's Grip: What Consumer Bankruptcy Reveals About Financial Risk In America

On this episode of the Ballard Spahr Consumer Finance Monitor Podcast, we examine consumer debt and bankruptcy through the lens of Debt's Grip: Risk and Consumer Bankruptcy (University of California Press, 2025)...

United States Finance

BS

Ballard Spahr LLP

Cooperation Agreements 101: A Quick Primer On Material Terms And Trends

Use of cooperation agreements by ad hoc groups of lenders has surged to address the risk of being caught on the wrong end of liability management exercises.

United States Insolvency

ABA Business Law Section

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

United States Insolvency

BS

Ballard Spahr LLP

Liability Management Exercises: Bandage Or Bridge To Recovery?

United States Insolvency

AC

Ankura Consulting Group LLC

Finance Teams That Harness AI Will Lead The Next Wave Of Business Collaboration

United States Technology

R

Riveron

SEC And CFTC Announce Joint 'Project Crypto' Initiative At Historic Harmonization Event

United States Finance

KM

Katten Muchin Rosenman LLP

Revitalizing U.S. Capital Markets: The Case For State-Led Reform

United States Commercial

FL

Foley & Lardner

Treasury Dusts Off The Rulebook For Sovereign Wealth Funds

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

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Securitization & Structured Finance

2026 FFA Annual Conference Recap

Loeb sent its largest team yet to the 2026 Fund Finance Association's (FFA's) annual conference, and we weren't alone, as the 3000+ attendees set a new record in the conference's 15th edition.

United States Finance

LL

Loeb & Loeb LLP

SRTs In The Resolution Of Failed Banks

Christopher B. Horn, Jed Miller, Daniel Meade, Ivan Loncar, Kathryn Borgeson, Chris Van Heerden and Christina Mille have authored a new Cadwalader memorandum examining the treatment of significant risk transfers (SRTs) in the resolution of failed banks.

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Digital Mortgage Assets: A Closer Look

In this article, the authors review some key considerations when financing digital mortgage assets, review the status of a financing party of electronic versions of home equity lines of credit as opposed to...

United States Finance

MB

Mayer Brown

Tapping Into Securitization: Oil & Gas Companies Digging For New Funding Sources

United States Finance

MT

Miller Thomson LLP

Sustainable Energy & Infrastructure Client Feature — January 2026

United States Wealth Mgt

M

Mintz

FCA Publishes Final Rules On Systematic Internaliser Regime For Bonds And Derivatives And Matched Principal Trading By MTF Operators

United States Finance

KM

Katten Muchin Rosenman LLP

Risk Transfer Market Receives CPO Registration Relief From CFTC

United States Finance

MB

Mayer Brown

Key Takeaways - 2025 Cadwalader Finance Forum

United States Real Estate

CW

Cadwalader, Wickersham & Taft LLP

Are You Ready To Navigate The US Landscape For Active Strategies? (Podcast)

United States Finance

MB

Mayer Brown

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Latest Videos

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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

Emerging Manager Minute (Video)

AG

Akin Gump Strauss Hauer & Feld LLP

Upcoming Events

What's The Deal: Advanced Topics In At-The-Market Offerings

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Mayer Brown

The Future Of Banking — An In-Person Financial Services Summit

AP

Arnold & Porter

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Mayer Brown

IAA’s 2026 Investment Adviser Compliance Conference

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WilmerHale

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