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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.

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

The False Claims Act In 2025: A Government Enforcement Update

This past year, the False Claims Act (FCA) continued to be a key tool for the Justice Department and whistleblowers to bring suits against companies, including those in the financial services sector.

United States Finance

BA

Bradley Arant Boult Cummings LLP

CFTC Files Amicus Brief Urging Exclusive Federal Jurisdiction Of Event Contracts

On February 17, 2026, the Commodity Futures Trading Commission (CFTC) filed an amicus curiae brief in the Ninth Circuit supporting North American Derivatives Exchange, Inc., d/b/a Crypto.com Derivatives North America...

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

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

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

NCUA Proposes Licensing Framework For Credit Union Stablecoin Subsidiaries

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

FTC Revisiting Negative Option Rule And Withdrawing CARS And Non-Compete Rules

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

OCC Proposes Rule To Restructure Supervisory Appeals Process

United States Finance

SM

Sheppard, Mullin, Richter & Hampton LLP

FinCEN Issues Exceptive Relief Order On Beneficial Ownership Verification Requirements

United States Finance

GP

Goodwin Procter LLP

Trump Administration Says CFPB Has Cost Consumers Hundreds Of Billions Of Dollars

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

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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

Banking Regulation

Project Finance

Asset Finance

U.S. Tax Planning For Israeli Investment In U.S. Real Estate: A Tale Of Scylla And Charybdis

U.S. real estate remains a favored asset class for foreign investment by Israeli residents. With the Israeli shekel currently being relatively strong against the U.S. dollar, investments in the U.S.

United States Real Estate

RP

Ruchelman PLLC

Insights On The NAV Lending Market – Full Year 2023

In the middle of 2023, we conducted an informal, small-scale survey to gather insights from prominent non-bank lenders on their activity in the net asset value (NAV) lending market for the first half of 2023.

United States Finance

PR

Proskauer Rose LLP

Blockchain+ Bi-Weekly

The past two weeks were filled with legislative activity as members of Congress worked to get digital asset legislation through committees prior to Congress going on its August break.

United States Technology

PL

Polsinelli LLP

SEC Adopts Money Market Fund Reforms And Changes To Reporting Requirements For Large Liquidity Fund Advisers

United States Finance

RG

Ropes & Gray LLP

MassMutual Direct Private Investments And MassMutual Asset Finance To Transition To Barings

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Mintz Venture Watch — Volume 2: A Report On Deal Trends From Q3 And Q4 2021

United States Commercial

M

Mintz

NBAA Article Assists Members With Tax Regulations On Meals And Entertainment

United States Transport

HK

Holland & Knight

Sale Or Assignment Of US Government Receivables – FACA Considerations

United States Finance

MB

Mayer Brown

Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct

United States Finance

RG

Ropes & Gray LLP

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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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Securitization & Structured Finance

Half-Truths: Fraud By Omission Under The Federal Securities Laws

About two years ago, the Supreme Court held that Section 10(b) and Rule 10b-5(b) did not prohibit "pure omissions."

United States Commercial

KM

Katten Muchin Rosenman LLP

The Insider's Guide To Evergreen Funds

Lately, all eyes seem to be on evergreen funds. Among private credit funds, they have emerged as one of the hottest fund formats in recent years – but despite their growing popularity...

United States Finance

SR

McDermott Will & Schulte

Credit Union-Sponsored Securitizations: Market Developments And Legal Considerations

The arrival of credit unions as active participants has been a noteworthy development in the asset-backed securitization market over the past few years, and appears poised for significant growth in the immediate future.

United States Finance

D

Dechert

2026 FFA Annual Conference Recap

United States Finance

LL

Loeb & Loeb LLP

SRTs In The Resolution Of Failed Banks

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Digital Mortgage Assets: A Closer Look

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

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Leasing

Subleasing Your Office Space? You May Have Triggered An Impairment Of Right-of-Use Assets

Adopting Accounting Standards Codification (ASC) 842, Leases, introduces new considerations for companies with leases. One such complex consideration is accounting for the potential impairment...

United States Accounting

ML

Marcum

Judge Albright Shifts Approach To Automaker Venue After Federal Circuit Reversal

Western District of Texas District Judge Alan D. Albright frequently found himself at odds with the Federal Circuit over his handling of transfer motions just a few years ago

United States Finance

RC

RPX Corporation

Aviation Finance Comparative Guide

Aviation Finance Comparative Guide for the jurisdiction of United States, check out our comparative guides section to compare across multiple countries

United States Transport

VP

Vedder, Price P.C.

Airline Lands A Significant Blow: Frontier And Carlyle Aviation Fight It Out In The Courts Over Breach Of Contract Claims

United States Transport

SG

Smith Gambrell & Russell

The FASB's Lease Accounting Rules Leave Restaurant Investors Searching For Deferred Rent

United States Accounting

AM

Alvarez & Marsal

Are Unmatured Lease Obligations Considered Noncontingent Debt For Purposes Of Calculating Eligibility To File A Subchapter v Bankruptcy?

United States Insolvency

TC

Thompson Coburn LLP

New Fed Policy On Extend And Hold Bank Loans For Retail Properties - Welcome Back To 2008

United States Finance

KR

Kane Russell Coleman Logan

State AGs And CFPB Stop Tempoe's Rhythm

United States Finance

KD

Kelley Drye & Warren LLP

Multistate And CFPB Enforcement Actions Against Lease Finance Company Tempoe

United States Finance

CW

Cadwalader, Wickersham & Taft 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

Upcoming Events

Basics Of The Bank Secrecy Act And Anti-Money Laundering Regulatory Framework

United States Finance

HK

Holland & Knight

PLI’s ERISA Plan Investments In The Financial Markets 2026: The Fundamentals

United States Finance

SR

McDermott Will & Schulte

Data Center Financings: Structures, Diligence And Trends

United States Finance

HK

Holland & Knight

IAA’s 2026 Investment Adviser Compliance Conference

United States Finance

W

WilmerHale

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

United States Finance

AP

Arnold & Porter

Gary Kalbaugh Speaks At Malta Stock Exchange’s 2026 Governance, Risk, Compliance & ESG Conference

United States Finance

CG

Cahill Gordon & Reindel LLP

IIB’s 2026 Annual Washington Conference

United States Finance

W

WilmerHale

The Regulatory Curve: Developments Involving Commodity Pool Operators And Advisors

United States Finance

MB

Mayer Brown

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