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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.

SEC Watch: Monthly Takeaways For Asset Managers - February 2026

The Supreme Court agreed to hear Sripetch v. SEC to resolve a circuit split over the SEC's disgorgement authority. Specifically, SCOTUS will decide if the Commission must show identifiable investor harm to seek disgorgement in enforcement proceedings.

United States Finance

ST

Simpson Thacher & Bartlett

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

CFPB Private Education Loan Ombudsman Receives Record Number Of Complaints

The CFPB received about 22,900 complaints about private and federal student loans between July 1, 2024, and June 30, 2025, the highest level the Bureau has received in a one-year period...

United States Finance

BS

Ballard Spahr LLP

FinReg Monthly Update - January 2026

Welcome to the FinReg Monthly Update, a regular bulletin highlighting the latest developments in UK, EU and U.S. financial services regulation.

Worldwide Finance

PR

Proskauer Rose LLP

States Oppose OCC Escrow Interest Preemption Proposals

United States Finance

CO

Cozen O'Connor

FINRA Highlights Supervisory Risks And Use Cases For Agentic AI In Financial Services

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

Senator Warren Presses CFPB To Use Existing Authorities To Address Credit Card Costs

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

Mortgage Banking Update - February 5, 2026

United States Finance

BS

Ballard Spahr LLP

New Jersey AG Announces Comprehensive Disparate Impact Rules

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

SEC - CFTC "Harmonization" Event — What Chairs Atkins And Selig Just Signaled To Digital Asset Markets

United States Finance

AO

A&O Shearman

HUD Revised Foreclosure Bidding Process For FHA Loans

United States Finance

BS

Ballard Spahr LLP

Marc Elovitz Discusses The Latest On The Regulation Of Private Markets On The "Risk And Return With Charlie Gasparino And Bob Sloan" Podcast.

United States Finance

SR

McDermott Will & Schulte

SRTs In The Resolution Of Failed Banks

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Colorado Files Opposition To Plaintiffs' Rehearing Petition In Opt-Out Litigation

United States Finance

BS

Ballard Spahr 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

Related Country Guides

Project Finance

Banking Regulation

Fund Management/ REITs

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

The MPD issued the Letter in response to a request made by the Managed Funds Association (MFA)...

United States Finance

AO

A&O Shearman

Domestically Controlled REIT Ownership Update: Proposed Regulations Would Remove Domestic Corporation Look-through Rule

On October 20, 2025, the US Department of the Treasury (Treasury) and the Internal Revenue Service (IRS) released proposed regulations (Proposed Regulations) under Section 897...

United States Finance

SR

McDermott Will & Schulte

AIFMD 2.0 Digest: Investor Disclosures And Reporting (Podcast)

The AIFMD 2.0 regime will take effect across EU member states on 16 April 2026. While most of the reforms will apply to EU-authorised alternative investment fund managers and EU funds...

United States Finance

PR

Proskauer Rose LLP

How Does The FCA Tackle Non-financial Misconduct, I.e. Discrimination, Harassment And Similar?

United States Finance

KM

Katten Muchin Rosenman LLP

New Mandatory VC California Diversity Reporting: Act Now On 2026 Deadlines

United States Commercial

LS

Lowenstein Sandler

Hedge Clauses In Focus: The SEC Charges An Investment Adviser With Four Advisers Act Violations

United States Wealth Mgt

AG

Akin Gump Strauss Hauer & Feld LLP

SEC Provides Two-year Extension On Short Sale Reporting And Securities Lending Compliance

United States Finance

SR

McDermott Will & Schulte

Hedge Fund Developments: Portable Alpha And SMAs

United States Finance

SR

McDermott Will & Schulte

5th Circuit Gives Taxpayers Sirius Victory In Self-Employment Tax Case

United States Tax

WS

Winston & Strawn LLP

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Fund Finance

Market Analysis: 10 Trends Affecting Global Private Markets For 2026

Welcome to the fifth edition of the Private Markets Update, a report in which our cross-border, multidisciplinary team of private capital advisers shares insights on the latest...

Worldwide Commercial

SR

McDermott Will & Schulte

Avoiding Pitfalls As Litigation Finance Takes Off

2025 was a challenging year for the litigation finance market, as fears of tax changes in the Trump administration's One Big Beautiful Bill Act threatened...

United States Litigation

SR

McDermott Will & Schulte

Cadwalader Partners Contribute To Global Legal Insights – Fund Finance 2026

Cadwalader Fund Finance partners have contributed to the 2026 edition of Fund Finance 2026 (also known as the "Pink Book"), the leading legal treatise for the fund finance industry, published by Global Legal Group. Co-Managing partner Wes Misson served as Contributing Editor.

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Structuring Luxury Mixed-Use Hospitality Properties: Getting The Legal Architecture Right

United States Real Estate

MB

Mayer Brown

In A Retreat, CFPB Submits $145 Million Funding Request Following Court Order

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

Back By Popular Demand: CFTC Staff Issues No-Action Letter Reviving QEP Exemption For Certain Private Fund Advisers

United States Finance

BC

Bryan Cave Leighton Paisner

Asset-Level Eligibility Series: "Eligible To Be Sold" & Transferability Restrictions

United States Finance

MB

Mayer Brown

Asset-Level Eligibility Series: Governmental Authorities

United States Finance

MB

Mayer Brown

Fund Finance To The Fore

United States Finance

D

Dechert

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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

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)

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...

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

Debt Download - January 2026

United States Finance

GP

Goodwin Procter LLP

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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

Designated Gifts — Honoring Intent, Avoiding Liability (Video)

MB

Michael Best

Upcoming Events

IAA’s 2026 Investment Adviser Compliance Conference

W

WilmerHale

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

AP

Arnold & Porter

The Economics Of Space Infrastructure: Capital, Competitiveness And The Future Of Spaceports

HK

Holland & Knight

The Defined Outcome Series

MB

Mayer Brown

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