The CFTC proposed amendments to rules governing confirmation of transactions on swap execution facilities.
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A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
The CFPB warned student loan servicers against attempting to collect on private student loans that had been discharged in bankruptcy.
A broker-dealer settled FINRA charges for sending incomplete or incorrect trade confirmations to customers.
The CFPB highlighted findings from supervisory examinations completed between January 2022 and June 2022.