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.

FINRA Updates Guidance On Negative Consent For Bulk Transfer/Assignment Of Customer Accounts

With the recent release of Notice 26-03, the Financial Industry Regulatory Authority (FINRA) will eliminate its pre-review of draft negative consent customer letters starting April 1, 2026.

United States Finance

HK

Holland & Knight

Federal Reserve Researchers Find Prediction Markets Deliver Forecasting Value Comparable To Professional Surveys And Futures

A new working paper from the Board of Governors of the Federal Reserve's (Federal Reserve) Finance and Economics Discussion Series (FEDS) provides the most rigorous empirical validation to date of prediction markets as a tool for measuring macroeconomic expectations.

United States Finance

KM

Katten Muchin Rosenman LLP

Financial Markets And Funds Quick Take | Issue 47

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

Worldwide Finance

KM

Katten Muchin Rosenman LLP

2025 Market Review: Credit, Capital And Change

2025 was a year of refinement in credit markets. From the vantage point of Akin's financial restructuring and capital solutions teams, liability management transactions continued to evolve...

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Mortgage Banking Update - February 19, 2026

United States Finance

BS

Ballard Spahr LLP

CFPB Releases College Credit Card Report

United States Finance

BS

Ballard Spahr LLP

Alternative Data's Integration Into AI Fuels New Opportunities And Challenges

United States Finance

LS

Lowenstein Sandler

Proposed New York CRYPTO Act Seeks To Criminalize Unlicensed Crypto Activities

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

Internal Investigations: How Financial Institutions Can Preserve Privilege

United States Finance

JL

Jackson Lewis P.C.

The Consumerization Of Small Business Lending: Federal And State Regulations Accelerate (Podcast)

United States Finance

BS

Ballard Spahr LLP

Chairman Selig And The CFTC Make The Case For Federal Jurisdiction Over Prediction Markets

United States Finance

KM

Katten Muchin Rosenman LLP

Interconnection Deposit Financing: A Novel Approach

United States Finance

FL

Foley & Lardner

FINRA Notice 26-03: Streamlining The Use Of Negative Consent For Bulk Account Transfers—What Advisors And Firms Need To Know

United States Finance

M

Mintz

SEC Acts On N-PORT And Names Rule; Staff Issues FAQs: What Funds Need To Know

United States Finance

D

Dechert

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

United States Finance

BS

Ballard Spahr LLP

SECURE 2.0: Key Provisions And Tax Planning Implications For American Retirees

United States Tax

RS

Rotfleisch & Samulovitch P.C.

Substantial Completion: Close, But The Case Hasn't Settled

United States Litigation

J

JAMS

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

Seventh Circuit Roundup: What Recent Decisions Reveal About Pleading, Intent, And Immunity (Podcast)

United States Litigation

BT

Barnes & Thornburg LLP

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Related Country Guides

Project Finance

Banking Regulation

Capital Adequacy/BASEL

Trends In Ship Finance

The ship finance industry continues to evolve in a manner previewed in years past by regulatory action and evolving lender profiles. This Holland & Knight article explores recent trends in traditional bank lending...

United States Transport

HK

Holland & Knight

NCUA Issues 2026 Supervisory Priorities Letter Emphasizing Safety, Soundness, And Risk-Focused Examinations

On January 14, the NCUA issued a letter outlining its supervisory priorities and examination program updates for 2026. The letter emphasizes risk-focused supervision, continued reliance on defined-scope examinations...

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

Prudential Regulation In 2026: Priorities In Capital, Ring-fencing, Recovery And Resolution, And Operational Resilience Requirements

The Basel Committee on Banking Supervision (BCBS) continues to encourage full, timely and consistent adoption and implementation of the Basel standards.

Worldwide Finance

AO

A&O Shearman

Cheat Sheet—FCA's New Targeted Support Regime—other Frequently Asked Questions (FAQs)

United States Consumer

AO

A&O Shearman

Art Basel Miami Beach: An Art Appraiser's Perspective

United States Finance

SH

Shook, Hardy & Bacon

OCC And FDIC Rescind Interagency Leveraged Lending Guidance

United States Finance

WS

Winston & Strawn LLP

Federal Banking Agencies Finalize The ESLR Rule, With Some Adjustments

United States Finance

DW

Davis Wright Tremaine

How Regulatory Change Is Reshaping Global Lending

United States Finance

WL

World Law Group

Federal Banking Agencies Propose Lower Community Bank Leverage Ratio Requirements

United States Finance

DW

Davis Wright Tremaine

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Debt Capital Markets

2025 Market Review: Credit, Capital And Change

2025 was a year of refinement in credit markets. From the vantage point of Akin's financial restructuring and capital solutions teams, liability management transactions continued to evolve...

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

IOSCO Report Provides Guidance That Can Help Dealers Avoid Insider Trading Scrutiny

Both the Financial Industry Regulatory Authority ("FINRA") and the National Futures Association ("NFA") have implemented rules prohibiting the practice of "frontrunning."

United States Finance

JD

Jones Day

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

United States Finance

BS

Ballard Spahr LLP

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

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

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Charges, Mortgages, Indemnities

Supreme Court Of Ohio Concludes That Mortgage Borrowers Do Not Need To Suffer Actual Harm To Recover Monetary Damages If Lender Fails To Timely Record Mortgage Release

An Ohio law, known as a mortgage release statute, requires a mortgage lender to record a release of the mortgage within 90 days of the mortgage being paid in full.

United States Litigation

CH

Calfee Halter & Griswold

Mortgage Banking Update - February 19, 2026

February 19 – Read the newsletter below for the latest Mortgage Banking and Consumer Finance industry news, written by Ballard Spahr attorneys. In this issue...

United States Finance

BS

Ballard Spahr LLP

New York State Department Of Financial Services Adopts Regulations Implementing The Community Reinvestment Act Covering Mortgage Bankers

In January 2026, the New York State Department of Financial Services ("DFS") adopted its regulations (the "Regulations") implementing the provisions of the state's Community Reinvestment Act covering non-bank...

United States Finance

MB

Mayer Brown

Low Rates, High Risk: Mortgage Buydowns And A Coming Wave Of AG Enforcement

United States Finance

B

Benesch Friedlander Coplan & Aronoff LLP

Getting Legal Architecture Right On Luxury Mixed-use

United States Real Estate

MB

Mayer Brown

CREF Roundup | Week 6, 2026

United States Real Estate

FB

FBT Gibbons

Mortgage Banking Update - February 5, 2026

United States Finance

BS

Ballard Spahr LLP

HUD Revised Foreclosure Bidding Process For FHA Loans

United States Finance

BS

Ballard Spahr LLP

Inside Year One: Finance Developments Under A New Administration

United States Finance

BS

Ballard Spahr LLP

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Financial Services

From Fast Track To Fine-Tuned: How The SEC's New Form N-PORT Proposed Amendments Refine The Rules For Fund Reporting

On 19 February 2026, the SEC proposed further amendments to Form N-PORT (2026 Proposal). In August 2024, the SEC adopted amendments to Form N-PORT that required more frequent and accelerated reporting for registered investment companies (the 2024 Amendments).

United States Commercial

KG

K&L Gates LLP

FINRA Updates Guidance On Negative Consent For Bulk Transfer/Assignment Of Customer Accounts

With the recent release of Notice 26-03, the Financial Industry Regulatory Authority (FINRA) will eliminate its pre-review of draft negative consent customer letters starting April 1, 2026.

United States Finance

HK

Holland & Knight

Federal Reserve Researchers Find Prediction Markets Deliver Forecasting Value Comparable To Professional Surveys And Futures

A new working paper from the Board of Governors of the Federal Reserve's (Federal Reserve) Finance and Economics Discussion Series (FEDS) provides the most rigorous empirical validation to date of prediction markets as a tool for measuring macroeconomic expectations.

United States Finance

KM

Katten Muchin Rosenman LLP

Financial Markets And Funds Quick Take | Issue 47

Worldwide Finance

KM

Katten Muchin Rosenman LLP

Delaware Chancery Court Holds That Grant Of Security Interest Is A "Transfer" – Commave v. Zevra

United States Litigation

MB

Mayer Brown

Proposed NY Legislation May Mean Potential Criminal Charges For Unlicensed Crypto Firms

United States Technology

CM

Crowell & Moring LLP

2025 Market Review: Credit, Capital And Change

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Mortgage Banking Update - February 19, 2026

United States Finance

BS

Ballard Spahr LLP

CFPB Releases College Credit Card Report

United States Finance

BS

Ballard Spahr 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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