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Court opinions, regulatory guidance, and enforcement actions. AI-summarized.
Financial Compliance
SEC, OCC, FDIC, Fed, FINRA, CFPB, FASB, and state banking regulators. One feed.
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State commissioner bulletins, NAIC model laws, and DOI enforcement actions.
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Trade & Procurement
Recent changes
Thomas v. Dover Federal Credit Union - Motion to Dismiss Granted
The Delaware Superior Court granted Dover Federal Credit Union's motion to dismiss a case brought by member Amy Thomas. Thomas alleged that two insufficient funds fees charged by the credit union breached her membership agreement. The court found that the second fee did not breach the agreement.
Hsu v. State Farm - Insurance Contract Dispute
The Delaware Superior Court decided summary judgment motions in Hsu v. State Farm Fire and Casualty Company. The court denied the plaintiffs' motions for partial summary judgment and to vacate the trial scheduling order, while granting in part and denying in part the defendant's motion for summary judgment. This ruling impacts the scope of claims proceeding to trial in this insurance contract dispute.
Delaware Court Order: Judgment Motion Denied, Pre-Judgment Interest Granted
The Delaware Superior Court denied a motion for judgment as a matter of law or a new trial filed by E.I. Du Pont de Nemours & Company and Remington Arms Company. The court also granted the plaintiffs' motion to include pre-judgment interest in the judgment.
Commonwealth v. Tanner - DNA Testing Postconviction Relief
The Supreme Judicial Court of Massachusetts ruled in Commonwealth v. Tanner that a judge retains discretion to allow postconviction DNA testing to proceed even if the defendant dies after the testing has been ordered but before completion. The court affirmed the denial of the Commonwealth's motion to vacate the testing order.
DWC Adjusts Medical Fee Schedule for Hospitals and ASCs
The California Division of Workers’ Compensation (DWC) has posted adjustments to the Official Medical Fee Schedule for Hospital Outpatient Departments and Ambulatory Surgical Centers. These changes conform to the CY2026 Medicare payment system updates and are effective for services rendered on or after March 1, 2026.
FINRA Amends Rule 3220 on Gifts to Employees of Others
FINRA has adopted amendments to Rule 3220, increasing the annual gift limit to employees of other firms from $100 to $300. The amendments also codify current guidance and provide for exemptive relief, aiming to modernize rules and promote efficiency without reducing investor protection. Conforming amendments were made to related rules.
Court Order Restricts Wigan Waste Site Access
The Environment Agency has obtained a court order restricting access to a waste site in Wigan to prevent illegal dumping. The order, effective for six months, prohibits waste importation and access to the site, with non-compliance being a criminal offense. This action is part of an ongoing criminal investigation into illegal waste dumping.
ESMA Publishes Q&As on Financial Markets, MiCA, CCPs, and Transparency
The European Securities and Markets Authority (ESMA) has published updated Questions and Answers documents covering various EU financial market regulations. These Q&As provide clarifications on topics including crowdfunding, Markets in Crypto-Assets (MiCA), OTC derivatives, central counterparties (CCPs), and the Transparency Directive.
ESMA Publishes Annual Equity Transparency Calculations
The European Securities and Markets Authority (ESMA) has published its annual transparency calculations for equity and equity-like instruments, effective April 6, 2026. These calculations determine liquidity assessments, relevant markets, large-in-scale thresholds, and tick-size regimes.
SEC Revokes LNP R Group Inc. Securities Registration
The SEC has revoked the securities registration of LNP R Group Inc. due to non-compliance with Section 13(a) of the Exchange Act and associated rules. The company failed to file required periodic reports after September 30, 2023. This action is effective February 27, 2026.
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