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.

Oregon Legislature Reintroduces DIDMCA OPT-OUT LEGISLATION– H.B. 4116

In the wake of the Tenth Circuit's decision in National Association of Industrial Bankers v. Weiser, 159 F.4th 694 (10th Cir. 2025), Oregon legislators have once again introduced legislation that would "opt out" of Section 521

United States Finance

BS

Ballard Spahr LLP

SEC Marketing Rule Enforcement In 2026: Why Buyers, Breakaways, And Growth-Minded RIAs Need To Be Mindful Marketers

The SEC's Division of Examinations recently released a Risk Alert (the "December 2025 Risk Alert") signaling continued scrutiny of investment adviser compliance with the Advisers Act Marketing Rule (SEC Rule 206(4)-1)...

United States Finance

M

Mintz

NCUA Extends 18% Interest Rate Ceiling For Most Loans

The NCUA board has approved a plan to continue the agency's temporary 18% rate ceiling for most loans made by federal credit unions.

United States Finance

BS

Ballard Spahr LLP

APAC Monthly Private Wealth Legal Developments – January 2026

ASIC: Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Carl Kennedy Weighs In On CFTC's Bold Defense Of Prediction Markets

United States Finance

KM

Katten Muchin Rosenman LLP

FINRA Triples Long-Standing Annual Gift Limit

United States Finance

HK

Holland & Knight

The False Claims Act In 2025: A Government Enforcement Update

United States Finance

BA

Bradley Arant Boult Cummings LLP

CFTC Files Amicus Brief Urging Exclusive Federal Jurisdiction Of Event Contracts

United States Finance

W

WilmerHale

Court Of Appeal Confirms Transferee Lender May Maintain Inherited SVR And Clarifies Limits Of CCA Unfair Relationship Remedies For Regulated Mortgages

United States Finance

KL

Herbert Smith Freehills Kramer LLP

FINRA Meets the Marketing Rule—Mostly: Performance Projections and Targeted Returns Under Proposed Amendments to Rule 2210

United States Finance

KG

K&L Gates LLP

The Private Funds Briefing: Navigating Sustainability Side Letter Clauses: Spotlight On U.S. State Plans

United States Finance

PR

Proskauer Rose LLP

The Insider's Guide To Evergreen Funds

United States Finance

SR

McDermott Will & Schulte

Prediction Markets At A Crossroads: The Continued Jurisdictional Battle Over Event Contracts

United States Finance

HK

Holland & Knight

FinCEN Eases Beneficial Ownership Verification For Financial Institutions

United States Finance

AC

Ankura Consulting Group LLC

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

United States Tax

RS

Rotfleisch & Samulovitch P.C.

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

United States Insolvency

BS

Ballard Spahr LLP

Back To School 2025: Title IX Updates And How ADR Can Help Universities Resolve Disputes (Podcast)

United States Litigation

J

JAMS

Food Venture Financing News – Weekly Issue No. 264

United States Commercial

DW

Davis Wright Tremaine

What Foundations And Other Nonprofits Need To Know About The Foreign Agents Registration Act

United States Government

W

WilmerHale

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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

Why New York City's Consumer Regulator Belongs On National Compliance Radar

New York City's consumer regulator has long been part of the local compliance backdrop. It now deserves sustained, strategic attention.

United States Consumer

GA

Global Advertising Lawyers Alliance (GALA)

FinCEN Issues Exceptive Relief Order On Beneficial Ownership Verification Requirements

On February 13, the US Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) issued an order granting exceptive relief to covered financial institutions from certain requirements...

United States Finance

GP

Goodwin Procter 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

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

United States Finance

JD

Jones Day

2026 FFA Annual Conference Recap

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

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Charges, Mortgages, Indemnities

FINRA Triples Long-Standing Annual Gift Limit

The Financial Industry Regulatory Authority (FINRA) amended Rule 3220 to increase the annual gift limit to $300 per recipient, tripling the long-standing $100 limit.

United States Finance

HK

Holland & Knight

NAIC Working Group Discusses Potential Changes To Life Risk-Based Capital Factors For Certain Asset Classes

On Tuesday, February 10, 2026, the Life Risk-Based Capital (E) Working Group (Life RBC WG) held an interim meeting via teleconference, led by newly appointed Chair...

United States Insurance

MB

Mayer Brown

Court Of Appeal Confirms Transferee Lender May Maintain Inherited SVR And Clarifies Limits Of CCA Unfair Relationship Remedies For Regulated Mortgages

The decision provides important appellate authority for lenders managing legacy or "back book" mortgage portfolios and gives welcome clarity on the boundaries of the court's remedial powers...

United States Finance

KL

Herbert Smith Freehills Kramer LLP

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

United States Litigation

CH

Calfee Halter & Griswold

Mortgage Banking Update - February 19, 2026

United States Finance

BS

Ballard Spahr LLP

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

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

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Financial Services

Oregon Legislature Reintroduces DIDMCA OPT-OUT LEGISLATION– H.B. 4116

In the wake of the Tenth Circuit's decision in National Association of Industrial Bankers v. Weiser, 159 F.4th 694 (10th Cir. 2025), Oregon legislators have once again introduced legislation that would "opt out" of Section 521

United States Finance

BS

Ballard Spahr LLP

SEC Marketing Rule Enforcement In 2026: Why Buyers, Breakaways, And Growth-Minded RIAs Need To Be Mindful Marketers

The SEC's Division of Examinations recently released a Risk Alert (the "December 2025 Risk Alert") signaling continued scrutiny of investment adviser compliance with the Advisers Act Marketing Rule (SEC Rule 206(4)-1)...

United States Finance

M

Mintz

NCUA Extends 18% Interest Rate Ceiling For Most Loans

The NCUA board has approved a plan to continue the agency's temporary 18% rate ceiling for most loans made by federal credit unions.

United States Finance

BS

Ballard Spahr LLP

FinCEN Simplifies CDD Requirements For Financial Institutions

United States Commercial

DW

Dickinson Wright PLLC

APAC Monthly Private Wealth Legal Developments – January 2026

Worldwide Finance

KL

Herbert Smith Freehills Kramer LLP

Creative Methods For Tracing Assets: A Global Perspective

United States Litigation

KI

K2 Integrity

Carl Kennedy Weighs In On CFTC's Bold Defense Of Prediction Markets

United States Finance

KM

Katten Muchin Rosenman LLP

Will 2026 Be A Banner Year For SPACs? Understanding The Risks And Opportunities

United States Commercial

SH

Scarinci Hollenbeck LLC

NYDFS Releases And Revises Comprehensive Multi-Factor Authentication FAQs

United States Technology

MB

Mayer Brown

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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

Episode 17: Dealmaking For The Future Generation – Inside Empower Youth Zones (Video)

AM

Alvarez & Marsal

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