The CFPB warned that operators of digital comparison-shopping tools or lead generators may be in violation of the Consumer Financial Protection Act if they give preference to products or services based on financial or other benefits provided to the tool operator.
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The SEC charged a motor company for misleading investors about the company's plans to develop the first full-size electric pickup truck and separately charged the company's accounting firm for violating auditor independence rules.
The SEC updated its guidance on investment adviser marketing since the adoption of the "Marketing Rule".
The OCC, FRB and FDIC requested comment on a set of rules as part of a process to identify "outdated" or "unnecessary" regulatory requirements on insured depository institutions and their holding companies.
A dually registered broker-dealer and investment advisor settled FINRA charges for failure to supervise its registered representatives' electronic communications.