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.
Article
Financial Markets And Funds Quick Take | Issue 54
Katten's Financial Markets and Funds Quick Take delivers monthly insights on regulatory developments reshaping broker-dealer enforcement, prediction markets, derivatives frameworks, tax-efficient investing structures, and AI's expanding role in financial services. This edition examines FINRA's transparency reforms, the CFTC's new guardrails on mention markets, the maturation of insurance-dedicated separately managed accounts, and the FCA's evolving cryptoasset and non-financial misconduct regimes.
United States Finance
KM
Katten Muchin Rosenman LLP
Article
Dechert Files Comment Letter In Response To NAIC's Proposal For Multi-Collateral Structured Credit Investments
On October 2, 2026, Dechert submitted a comment letter to the NAIC's Statutory Accounting Principles (E) Working Group on Agenda Item 2026-10, proposing amendments to SSAP No. 26 (Bonds) that introduce a self-liquidation test and an embedded Asset-Liability Management (ALM) risk test under the Principles-Based Bond Definition. This has to do with the treatment of Multi-Collateral Structured Credit Investments—although it could potentially sweep up a lot more.
United States Finance
D
Dechert
Article
SEC Proposes Amendments To Expand Retail Access To Private Markets
The U.S. Securities and Exchange Commission has proposed significant amendments to expand retail investor access to private market strategies through regulated fund structures. These proposals would allow registered investment advisers to receive performance-based compensation from regulated funds and modernize the interval fund framework while permitting multiple share classes for closed-end funds and BDCs. Will these changes democratize access to private equity, hedge fund, and venture capital strategies
United States Finance
GT
Greenberg Traurig, LLP
Article
FDIC Proposes State Bank Parity Rule For Interstate Services
The Federal Deposit Insurance Corporation has proposed a rule that would fundamentally alter which state laws apply to banks operating across state lines, extending parity protections beyond physical branches to all services provided in host states. This modernization of the Riegle-Neal framework responds to the digital transformation of banking and recent litigation over state interchange fee laws.
United States Finance
MB
Mayer Brown
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Webinars

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Related Country Guides

PF
Project Finance
BR
Banking Regulation

Commodities/Derivatives/Stock Exchanges

Article
Financial Markets And Funds Quick Take | Issue 54
Katten's Financial Markets and Funds Quick Take delivers monthly insights on regulatory developments reshaping broker-dealer enforcement, prediction markets, derivatives frameworks, tax-efficient investing structures, and AI's expanding role in financial services. This edition examines FINRA's transparency reforms, the CFTC's new guardrails on mention markets, the maturation of insurance-dedicated separately managed accounts, and the FCA's evolving cryptoasset and non-financial misconduct regimes.
United States Finance
KM
Katten Muchin Rosenman LLP
Article
Nasdaq Eliminates Sub-$4 Initial Listing Path On The Nasdaq Capital Market
Nasdaq has proposed eliminating its Alternative Price Requirement, which currently allows companies to list on the Nasdaq Capital Market at prices between $2 and $4 under certain conditions. The rule change would establish a uniform $4 minimum price requirement for all initial listings, aligning Nasdaq with other national securities exchanges after NYSE American removed its own sub-$4 listing option in March 2026.
United States Finance
MB
Mayer Brown
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Asset Finance

Article
In-Transit Inventory and Electronic Bills of Lading: A Practical Guide for ABL Lenders
Asset-based lending against in-transit inventory presents unique legal challenges as lenders navigate UCC Article 7 requirements, negotiable documents of title, and the emerging landscape of electronic bills of lading. This analysis examines how ABL lenders can structure security interests to protect their position when goods are moving through the supply chain, from traditional paper documentation to modern electronic platforms.
United States Finance
MB
Mayer Brown
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Financial Services

Article
Financial Markets And Funds Quick Take | Issue 54
Katten's Financial Markets and Funds Quick Take delivers monthly insights on regulatory developments reshaping broker-dealer enforcement, prediction markets, derivatives frameworks, tax-efficient investing structures, and AI's expanding role in financial services. This edition examines FINRA's transparency reforms, the CFTC's new guardrails on mention markets, the maturation of insurance-dedicated separately managed accounts, and the FCA's evolving cryptoasset and non-financial misconduct regimes.
United States Finance
KM
Katten Muchin Rosenman LLP
Article
Dechert Files Comment Letter In Response To NAIC's Proposal For Multi-Collateral Structured Credit Investments
On October 2, 2026, Dechert submitted a comment letter to the NAIC's Statutory Accounting Principles (E) Working Group on Agenda Item 2026-10, proposing amendments to SSAP No. 26 (Bonds) that introduce a self-liquidation test and an embedded Asset-Liability Management (ALM) risk test under the Principles-Based Bond Definition. This has to do with the treatment of Multi-Collateral Structured Credit Investments—although it could potentially sweep up a lot more.
United States Finance
D
Dechert
Article
SEC Proposes Amendments To Expand Retail Access To Private Markets
The U.S. Securities and Exchange Commission has proposed significant amendments to expand retail investor access to private market strategies through regulated fund structures. These proposals would allow registered investment advisers to receive performance-based compensation from regulated funds and modernize the interval fund framework while permitting multiple share classes for closed-end funds and BDCs. Will these changes democratize access to private equity, hedge fund, and venture capital strategies
United States Finance
GT
Greenberg Traurig, LLP
See more

Securitization & Structured Finance

Article
Fastest Route To Market: Money Transmission Licensing Roadmaps For Fintechs
As FinTech companies mature beyond initial money transmission licensing and sponsor-bank arrangements, they face strategic decisions about specialized charters and hybrid regulatory structures. This article examines when Wyoming SPDIs, Puerto Rico IFEs, and modular licensing approaches become relevant for digital asset custody, international treasury, and institutional services.
United States Finance
TS
Taft Stettinius & Hollister
Article
LP-Led CFOs: Their Rise And Key Considerations
Collateralized fund obligations (CFOs) have emerged as a sophisticated securitization tool for institutional investors seeking to monetize their private fund portfolios while retaining upside exposure. This analysis examines the unique structural, tax, and regulatory challenges that distinguish LP-led CFO transactions from their GP-led counterparts, revealing why these deals require more extensive preparation and specialized expertise to execute successfully.
United States Finance
D
Dechert
Article
Five Takeaways From The Private Credit Summit – New York
Private credit industry leaders gathered to discuss emerging trends reshaping the market, from investment grade expansion and secondary market growth to strategic consolidation pressures. Key themes included the structural shift toward IG private credit driven by insurance capital and defense spending, the rapid evolution of secondaries and GP stakes solutions, and the nuanced opportunities emerging from software lending amid headline-driven sell-offs.
United States Finance
D
Dechert
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Latest Videos

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