The OCC, the FRB and the FDIC jointly issued (i) an interim final rule that delays the applicability date of the facility-based assessment areas and public file provisions contained in the Community Reinvestment Act and (ii) a final rule that makes related technical amendments.
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The SEC permitted an associated person, who had been subject to statutory disqualification, to effect security-based swaps after he had (i) paid a penalty, (ii) completed a number of remedial requirements and (iii) maintained a clean record.
The Federal Financial Institutions Examinations Council outlined principles for its member entities to consider when evaluating compliance and risk management practices concerning valuation discrimination and bias in residential real estate.
The New York State Department of Financial Services proposed guidance on the use of "artificial intelligence systems and external consumer data and information sources in insurance underwriting and pricing."
A broker-dealer that sells mutual funds and variable products settled charges with FINRA for failing to supervise the outside business activities of its registered representatives.