The OCC, FRB and FDIC requested comment on a set of rules as part of a process to identify "outdated" or "unnecessary" regulatory requirements on insured depository institutions and their holding companies.
News & Insights
In remarks at the "Going Public in the 2020s" Conference, SEC Commissioner Mark T. Uyeda decried the decline in the number of companies going public and made several recommendations for reversing the trend, particularly for smaller companies, which he said would benefit Main Street investors.
An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.
An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
The National Credit Union Administration issued guidance on the credit, strategic, compliance and reputational risks to federal credit unions arising from its credit union service organization rule.