A broker-dealer settled FINRA charges for share-class recommendations that resulted in clients paying excess fees on their investments.

At an Investor Advisory Committee meeting, SEC Chair Jay Clayton highlighted issues concerning (i) environmental, social and governance data, (ii) harmonizing securities offering exemptions and (iii) protections for retail investors.

In its 2019 Annual Report, the SEC Division of Enforcement highlighted efforts to protect retail investors and combat cyber threats.

Beth A. Williams, Assistant Attorney General for the Office of Legal Policy, outlined several DOJ initiatives to combat elder fraud and abuse.

The House of Representatives passed a bill to establish a CFPB Office of Community Affairs to serve "under-banked, un-banked, and underserved" communities.

Two general securities representatives settled FINRA charges of using exploitative trading practices against a cognitively impaired elderly customer.

CFPB Director Kathleen L. Kraninger testified before the House Financial Services Committee on regulatory developments at the agency.

In its Semi-Annual Report to Congress, the CFPB highlighted significant problems faced by consumers between October 1, 2018 and March 31, 2019.

FINRA offered new resources to member firms in preparation for the SEC's Regulation Best Interest and Form CRS compliance date of June 30, 2020.

IOSCO examined members regulators' progress toward implementing suitability standards designed to prevent the mis-selling of complex financial products.