The Massachusetts Supreme Judicial Court held that the Secretary of State could reasonably adopt a new rule that holds broker-dealers to a fiduciary standard when making recommendations to customers.
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The Congressional Research Service reviewed the lifecycle of the meme stock Meta Materials to give policymakers context for a trading halt placed by FINRA on December 9, 2022.
CFPB Director Rohit Chopra and European Commissioner for Justice and Consumer Protection Didier Reynders began an "informal dialogue" to address "critical" consumer protection issues related to the "digitalisation of the financial services."
A broker-dealer settled charges with FINRA for excessive trading in accounts and incurring "substantial losses" for customers.
Senate Banking Committee Chair Sherrod Brown urged the CFPB to address the risks associated with artificial intelligence "voice cloning."