US financial services regulation

The Practice Notes in this subtopic deal with financial services regulation in the United States. The financial services industry in the US is heavily regulated by a myriad of different regulators at the state and federal level. In the wake of the global economic crisis the regulatory regime underwent much change. Additionally, the US regulators consider themselves to have a broad jurisdictional reach over registered and non-registered entities

To view the latest version of this document and thousands of others like it, sign-in with LexisNexis or register for a free trial.

TAKE A FREE TRIAL

Latest Corporate News

Companies House announces 2024-25 Christmas and New Year opening times

Companies House has announced its 2024-25 Christmas and New Year opening times.

Corporate weekly highlights—21 November 2024

This week's edition of Corporate weekly highlights includes publication of Glass Lewis’ 2025 proxy voting policy guidelines, FCA Primary Market Bulletin 52 on issuers’ ability to identify and make public information that is inside information under MAR, HMT’s PISCES consultation response together with draft legislation to establish PISCES and HMT’s consultation on the value and use cases of a UK Green Taxonomy. Also included, are news of the adoption of the EU ESG Ratings Regulation and the announcement that EU due-diligence reporting duties are to be simplified through an ‘omnibus’ regulation.

Council adopts EU ESG Ratings Regulation

The Council of the EU has announced its adoption of the Regulation on the transparency and integrity of Environmental, Social and Governance (ESG) rating activities and amending the Sustainable Finance Disclosure Regulation (EU) 2019/2088 (EU SFDR) and the ESG Ratings Regulation (EU) 2023/2859. The Regulation will be published in the EU’s Official Journal (OJ) before entering into force 20 days later; it will apply 18 months later.

EMA publishes European Platform for Regulatory Science Research concept paper

The European Medicines Agency (EMA) has published a concept paper, proposing the establishment of a European Platform for Regulatory Science Research. The Platform aims to accelerate and advance regulatory science research and enhance the quality of research to improve regulatory practices and medicine development. The EMA has launched a consultation on the concept paper, which closes on 18 December 2024. The EMA has launched a consultation on the 2024 update to its Regulatory Science Research Needs (RSRN) initiative, which also closes on 18 December 2024. This consultation seeks input on research priorities to address gaps in regulatory science and improve medicine development and evaluation. The RSRN outlines research needs across four key areas: clinical research improvement, regulatory system evolution, leveraging technologies for specific medicine types, and advancing veterinary medicine regulation.