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Finance & Banking Professional Practice

Read Finance & Banking Law updates, alerts, news, and legal analysis from leading lawyers and law firms:
Cozen O'Connor

NYSE American Listing Standards Update 2026: New Liquidity, IPO, and Share Price Requirements Explained

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NYSE American has materially tightened its initial listing standards following SEC approval of amendments to Sections 101 and 102 of the NYSE American Company Guide, as published in the April 1, 2026, Federal Register notice....more

Troutman Pepper Locke

Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – May 2026 #2

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To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week....more

J.S. Held

SPAC Litigation and Economic Damages Theory in the Delaware Courts

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The rise of special purpose acquisition companies (SPACs) has led to a surge in shareholder litigation, particularly in the Delaware Court of Chancery. SPACs raise capital to take private companies public through a process...more

Skadden, Arps, Slate, Meagher & Flom LLP

PRA Sets Out Road Map for Future UK Banking Prudential Framework

On 28 April 2026, David Bailey, executive director of prudential policy at the Prudential Regulation Authority (PRA), delivered a speech outlining the PRA’s current programme of reforms to the UK banking capital and liquidity...more

Cooley LLP

What’s the Historical Background of the CFIs? 9 Things to Know

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Since Corp Fin recently renamed the CDIs to “CFIs” – “Corporation Finance Interpretations” to the “Compliance and Disclosure Interpretations” – I thought it would be a good time to recount the long history (50 years!) of this...more

Troutman Pepper Locke

Maryland Enacts Sweeping Earned Wage Access Reforms, Bans Tipping

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On April 28, Governor Wes Moore (D) signed Senate Bill 94 into law, significantly revising Maryland’s earned wage access (EWA) framework and tightening restrictions on tipping practices in both EWA programs and certain...more

Cooley LLP

FinCEN Proposes New Rules for AML Whistleblower Incentives and Protections

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The Financial Crimes Enforcement Network (FinCEN) recently published a notice of proposed rulemaking (NPRM) titled “Whistleblower Incentives and Protections.”...more

McGuireWoods LLP

Mako Capital Launches, Invests in Mangrove Health

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Mako Capital Group has announced its launch. Mako, based in Miami, is a private equity firm specializing in acquiring lower-middle market U.S. companies in healthcare, financial and other services. Mako targets...more

Ballard Spahr LLP

Seventh Circuit Hits Reset Button in Illinois Interchange Fee Litigation After OCC “Doubles Down” on Federal Preemption under the...

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The U.S. Court of Appeals for the Seventh Circuit issued a highly significant order on May 8, 2026 in the closely watched litigation challenging the Illinois Interchange Fee Prohibition Act (“IFPA”), vacating the district...more

White & Case LLP

SEC proposes to allow semiannual reporting for domestic issuers - White & Case Publishes Survey of FPI “Semiannual” Reporting...

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On May 5, 2026, the Securities and Exchange Commission (“SEC”) issued a landmark proposal that would allow domestic SEC reporting companies to satisfy their interim reporting obligations by filing semiannual reports on new...more

Ballard Spahr LLP

GLBA Modernization Legislation: Key Implications for Financial Institutions’ Data Practices

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The House Financial Services Committee recently advanced legislation to modernize the Gramm-Leach-Bliley Act (GLBA), reflecting a continued shift toward more prescriptive data governance obligations for financial...more

Thomas Fox - Compliance Evangelist

AI Today in 5: May 13, 2026, The AI and Getting Fired Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to AI Today In 5....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Your 401(k) Isn’t a Hedge Fund, So Stop Designing It Like One

There’s a line often attributed to Steve Jobs that gets repeated so often it risks losing its bite: simplicity is the ultimate sophistication. I’ll translate that into something this industry might actually understand,...more

A&O Shearman

Navigating the French decree on “Autres FIA”: new prohibitions for life insurance and retirement savings plans :

A&O Shearman on

Après plusieurs mois d'incertitude quant à sa possible publication et à son contenu, le décret sur l’éligibilité des « Autres FIA » en unités de compte vient tout juste d'être publié (décret n° 2026-341 du 30 avril 2026...more

Morgan Lewis

Securities Enforcement Roundup – April 2026

Morgan Lewis on

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from April 2026. In April 2026: On April 7, the SEC announced its enforcement results for the fiscal year that...more

Thompson Coburn LLP

Revisiting the Reporting Cadence: The SEC’s Proposal to Allow Semiannual Filings

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On May 5, 2026, the Securities and Exchange Commission (the “SEC”) proposed amendments that would permit companies subject to the periodic reporting requirements of the Securities Exchange Act of 1934, as amended (“Reporting...more

Hogan Lovells

SEC exemptive order permits shorter equity tender offer periods - SEC Update

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The SEC’s Division of Corporation Finance recently issued an exemptive order under the Exchange Act permitting certain tender offers for equity securities to remain open for a minimum period of ten business days instead of a...more

Hogan Lovells

As MiCA’s transitional periods expires, Europe’s crypto market faces a reckoning

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When its first draft was published on 24 September 2020, MiCA promised to be a pillar of EU financial services legislation, placing the EU in a unique position as the first major jurisdiction to create a regulatory regime for...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Participants Aren’t Lazy—Your Plan Is Just Too Optional

Plan sponsors love to say participants don’t engage. They don’t enroll, don’t increase deferrals, don’t rebalance. The conclusion? Participants are lazy....more

K&L Gates LLP

Europe: Ireland’s Private Funds Regime Gets a Major Overhaul: Central Bank Publishes Revised AIF Rulebook

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The Central Bank of Ireland (the Central Bank) today published its long-awaited revised AIF Rulebook, consolidating and modernising the regulatory framework for Irish alternative investment funds (AIFs). The revised Rulebook...more

Lowenstein Sandler LLP

Delaware’s Bid for the Stablecoin Market: What SB 16 and SB 19 Mean for Digital Asset Firms

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With federal agencies now implementing the GENIUS Act, enacted on July 18, 2025, Delaware is building a state-level regulatory infrastructure consistent with the “substantially similar” standard for state-regulated issuers....more

Herbert Smith Freehills Kramer

Law of 5 May 2026 transposing CRD VI in Luxembourg - key provisions and practical implications

The law is a major regulatory milestone, bringing significant changes for domestic financial institutions and reshaping the framework for third-country market access, governance, and prudential oversight. The Law of 5 May...more

Ankura

Uncertainties and Opportunities in the Middle East Construction Sector

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With the ongoing uncertainty in the Middle East entering its sixth week of conflict, there are understandably concerns across various sectors and the short to medium term outlook. Those sectors most immediately affected...more

King & Spalding

Michigan Bankruptcy Court Rejects Usury Theory for Future Receipts Sale

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A federal bankruptcy court rejected a novel usury theory in an adversary proceeding arising out of the bankruptcy of a collegiate apparel company....more

Ballard Spahr LLP

CFPB Surprisingly Appeals Judge Davila’s Funding Decision to the Ninth Circuit

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Just when the conventional wisdom seemed to be that the CFPB was no longer going to assert that it could not request funding from the Federal Reserve because of combined losses at the Federal Reserve Banks, things have once...more

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