A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
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The FDIC extended the comment period on its proposed "Examination Guidance for Third-Party Lending."
The FDIC requested comments on proposed guidance that would establish compliance measures for FDIC-supervised institutions to follow when relying on a third party to perform a significant aspect of the lending process, such as marketing, originating, servicing or underwriting.