A real estate settlement services provider settled SEC charges for inadequate disclosure controls and procedures related to cybersecurity vulnerabilities arising from the company's document-sharing application for title and escrow transactions.
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A firm settled FINRA charges for reporting violations involving the MSRB's Short-Term Obligation Rate Transparency System.
The Cabinet Regulatory Tracker is a list of comment deadlines, effective dates and expiration dates.
SEC Commissioner Caroline A. Crenshaw urged greater environmental, social and governance disclosure for both issuers and asset managers; asset managers should have the information they need in order to be responsive to investors, and investors should be able to understand how asset managers are approaching ESG risks.
The U.S. House Judiciary Committee's Antitrust Subcommittee released a bipartisan legislative agenda to address "anti-competitive conduct that has seriously impacted consumers and small businesses" in the digital marketplace.