News & Analysis as of

Innovative Technology Securities and Exchange Commission (SEC) FinTech

King & Spalding

Recent Actions by the SEC Related to Digital Assets

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Two recent actions by the SEC show the agency is already acting on President Trump’s support for digital assets. In January, a Crypto Task Force to promote innovation was formed. Our Fintech lawyers outline the scope and...more

Carlton Fields

SEC 2025 Examination Priorities Shine Light on AI

Carlton Fields on

Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more

Herbert Smith Freehills Kramer

OCIE Releases 2020 Examination Priorities

The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its 2020 Examination Priorities, an annual publication that enhances transparency and provides insights into...more

Burr & Forman

Renegade Pandas, Competitive Regulation and a Token Safe-Harbor?

Burr & Forman on

In a July 30 speech in Singapore, SEC Commissioner Hester Peirce compared renegade red pandas’ penchant for life “outside the fence” to the fin-tech innovation currently frustrating regulators’ efforts to keep up....more

Proskauer - Blockchain and the Law

Utah Passes the Third State-Run “Sandbox” for Innovative Financial Products and Services

Utah’s governor recently signed into law H.B. 378, which created a sandbox program for companies providing “innovative financial products or services” in the state. The program, run by Utah’s Department of Commerce, requires...more

Polsinelli

SEC’s FinHub Hosts Public Forum

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The Securities and Exchange Commission’s (“SEC”) Strategic Hub for Innovation and Financial Technology (“FinHub”) hosted an important public forum on Friday, May 31, 2019 at the SEC headquarters in Washington, D.C. ...more

Proskauer - Blockchain and the Law

SEC Launches FinHub

On October 18, the SEC announced the launch of a new Strategic Hub for Innovation and Financial Technology (the “FinHub”). The FinHub provides an online portal for market participants to engage with the SEC on a range of...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

U.S. Financial Industry Developments - FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry - On July 30, 2018, the Financial Industry Regulatory Authority ("FINRA") published a...more

Polsinelli

Should the SEC Allow FinTech Firms to Play in a Sandbox?

Polsinelli on

The growth of financial services technology (FinTech) presents tremendous opportunities for the industry. However, the growth of FinTech also poses substantial challenges to regulators including the U.S. Securities and...more

Carlton Fields

SEC and OCC Seek Accommodation with Fintech Firms

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In November, industry participants and their regulators convened at the SEC for a special forum on the use of financial technology (fintech). In recent years, large amounts have been invested in fintech platforms such as...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The latest from the CFPB and its “Project Catalyst,” which aims to “encourage the development of innovative consumer financial products that meet regulatory requirements” [think Fintech]....more

Ballard Spahr LLP

SEC to hold fintech innovation public forum

Ballard Spahr LLP on

The Securities and Exchange Commission has announced that it will host a public forum in Washington, D.C. on November 14, 2016 to discuss financial technology innovation in the financial services industry. The forum is...more

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