The CFPB reviewed federal student loan servicing practices since required repayments have resumed.
News & Insights
NFA questioned the rationale and benefits of proposed changes in a CFTC proposal to increase the disclosure requirements for commodity pools and managed account programs operated by registered commodity pool operators and commodity trading advisors.
A broker settled FINRA charges for distributing research notes to sales and trading personnel, and select customers, in advance of the publication of the official research report.
The SEC set an effective date of November 13, 2023 and outlined compliance dates for significant new regulation of private fund advisers under the Advisers Act.
Several investment advisers settled SEC charges for custody violations on the assets of private funds. The SEC charged the firms for failing to comply with audit and reporting procedures that would have afforded an exemption from the applicable custodial requirements.